Quantivate Blog

Governance, Risk & Compliance (GRC) Education and News

Regulators Crack Down on Compliance in Financial Services
compliance in financial services
It’s a tough time to be a compliance professional in the financial services industry. A growing number of U.S. financial institutions have been hit hard with regulatory fines and lawsuits due to compliance failures. Meanwhile, federal regulators are imposing new rules on a level unseen in the past decade, underscoring the importance of guarding against non-compliance in financial services. (more…)
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The SEC’s Record Year for Compliance Enforcement & What That Means for 2023
SEC enforcement record
The Securities and Exchange Commission (SEC) has been making headlines with a record-breaking year for enforcement in 2022. The SEC reported that it filed 760 enforcement actions and imposed $6.4 billion in penalties and disgorgement (the return of wrongfully obtained money), the highest amount recorded for a single fiscal year in the agency’s history. (more…)
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January Regulatory Compliance Briefing
January Regulatory Compliance Briefing Header
The January Regulatory Compliance Briefing includes a recap of December's five finalized changes by the CFPB and FRB and dozens of other compliance alerts and advisories to be aware of this month. Learn more about January's regulatory compliance changes below. (more…)
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Risk & Compliance Concerns Remain High for Financial Institutions
risk and compliance concerns in financial services
The ability to manage risk and compliance remains top of mind for financial services organizations, according to the annual Regulatory & Risk Management Indicator survey conducted by Wolters Kluwer. The survey of banks, credit unions, and mortgage companies takes a pulse on institutions’ regulatory and risk concerns, impacts, and current management practices. Top Concerns for Financial Services Sector Compliance The “ability to manage regulatory change in an effective and compliant manner” emerged as the primary challenge…
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Top Risk & Compliance Insights of 2022
risk and compliance insights
Best of the Quantivate Blog Revisit our most-read posts of the year in this roundup of risk and compliance insights and best practices. As your organization prepares for 2023, take stock of your GRC priorities and practices in areas like cybersecurity, third-party risk management, and ESG. (more…)
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