Regulatory Compliance

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Protiviti Governance Portal

The Protiviti Governance Portal is a comprehensive software platform that integrates content and commonly accepted frameworks with world-class consulting expertise that provides organizations with the visibility and insight needed to manage and mitigate critical risk and compliance issues today and in the future.

  • IT.01 - Audit and Assurance Management
  • IT.05 - Compliance Management
  • IT.07 - Control Activity, Monitoring, and Assurance
  • IT.16 - Information/IT Risk & Security
  • IT.22 - Policy Mgmt, Communication & Training
  • IT.26 - Risk Management
  • IT.26 - Regulatory Intelligence and Monitoring
  • IT.28 - 3rd Party/Vendor Risk & Compliance
  • A2. Analysis
  • M4. Assurance
  • R5. Remediation
  • (A) Assess
  • (M) Measure
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Supply Chain Dynamics in Asia (2010) resource White Papers OCEG Reviewed

Abstract: Supply chain management in Asia is a relatively new topic but is a key challenge for all Asia-based manufacturers and traders trying to integrate into the “global market.” The purpose of this paper is to describe key supply chain issues faced in Asia.

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RSA, The Security Division of EMC Technology Provider
FFIEC, Bank Secrecy Act (BSA)/Anti-Money Laundering (AML) Examination Manual (2010) resource Agency Guidances

Introduction: This Federal Financial Institutions Examination Council (FFIEC) Bank Secrecy Act (BSA)/Anti-Money Laundering (AML) Examination Manual provides guidance to examiners for carrying out BSA/AML and Office of Foreign Assets Control (OFAC) examinations.

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SEC, Compliance Alert for Chief Compliance Officers (2008) resource Agency Guidances OCEG Reviewed
The SEC staff conducts compliance examinations of SEC-registered investment advisers, investment companies, broker-dealers, and transfer agents and other types of registered firms to determine whether these firms are in compliance with the federal securities laws and rules, and to identify deficiencies and weaknesses in compliance and supervisory controls. This “ComplianceAlert” letter summarizes select areas that SEC examiners have recently reviewed during examinations and describes the issues we found and some of the practices we observed.
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