Tag Archives: Dodd-Frank

Top 10 GRC issues


Organizations must move toward a focus of governance, risk and compliance to remain competitive and avoid the surprises that can cause them to cease operations or face acquisition. Read the 10 most pressing GRC issues facing corporations today.

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The role of the board in enterprise risk management – Part 2

James Lam

In the wake of the global financial crisis, boards are taking a much more active role in risk oversight. In this series of posts, I’m discussing the three key levers that boards can use in their risk oversight. In this post, I’m covering risk governance, which establishes the oversight roles and decision points for the board and board committees.

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CFPB interview: Product development and regulatory unrest

Cyber security

At the BAI Retail Delivery conference in Chicago, John Colas, Partner at Oliver Wyman, interviewed David Silberman, the Assistant Director, Deposit and Payment Markets Consumer Financial at the Consumer Financial Protection Bureau, to give the financial services audience insight into roles, ambitions and priorities of the newest regulatory bureau. Read Silberman’s frank answers about the future of the bureau.

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New risks from Dodd-Frank

Guillermo Kopp

While financial firms have been improving the regulatory framework to manage known risks, it’s also important to understand the perils of complexity risk. The regulations presented by the Dodd-Frank Act hint at managing complexity risks. Read this frank discussion.

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Heading down the (Dodd-Frank) highway, are we lookin’ for adventure?

David Wallace

SIFMA held its Dodd-Frank Impact Analysis Summit in New York City on July 13. SAS’ David Wallace was there and returned with panelists’ comments and his opinions from this daylong discussion. Read his recap of the discussions.


The Dodd-Frank Act and insurers

Stuart Rose

It will be many years before the Dodd-Frank Act has been deemed a success or just another compliance burden. Read about the role of the Federal Insurance Office and its potential for streamlining rules and regulations for insurers.

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Heading down the (Dodd-Frank) highway, are we lookin’ for adventure?

David Wallace

SIFMA held its Dodd-Frank Impact Analysis Summit in New York City on July 13. David Wallace was there and returned with the panelists’ comments and his opinions. Read his recap of the discussions and then chime in with what you think the impact will be.

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The weather forecast for capital markets: A deluge, a bright light and red paint?

Weather forecast

This year’s SIFMA forum and expo in New York City had a decidedly different air about it. According to David Wallace from SAS, the topics centered on regulatory concerns and the deluge of data that capital markets firms are struggling to master. Read Wallace’s take on the issues and his advice.


Benefits of a standard framework for stress testing

Tom Kimner

Successfully executing an enterprise stress testing program requires a technology framework that enables data, scenarios, analytics and reports to be integrated across the organization. Read the benefits of this stress testing framework.

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Compliance: Lines of Responsibility are Blurring within Corporations

Clark Abrahams, Chief Financial Architect, SAS

In an enterprise setting, policies and procedures often transcend departmental boundaries, and the actions taken by one group can drastically impact their downstream associates. Read Clark Abrahams’ advice for integrating to solve complex GRC issues.