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Ellen Zimiles Named Among Top 25 Consultants

Financial Services Advisory and Compliance leader recognized by Consulting magazine for Excellence in Leadership.

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FCPA Update Q1 2016

Our Q1 2016 FCPA report compiles the eight resolved FCPA cases from the past quarter for the latest information and perspectives on anti–bribery and corruption issues that can impact your business.

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The DOL Fiduciary Rule

This article provides a high-level examination of the Rule, and outlines how market participants can prepare themselves to address the shifts.

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Effectively Assessing Internal Controls

This article reviews the major components to form an integrated system with Internal Controls and examines Internal Controls specific to Property and Equipment.

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Financial Services

Financial Services Enforcement Actions Tracker Q1 2016

Navigant is pleased to release the Q1 2016 Financial Services Enforcement Actions Tracker. We have compiled publicly available data on recent industry enforcement actions to demonstrate the types of activities that bank and other consumer finance-focused regulators are currently monitoring.

 Research
Information Technology Risk Management: A Holistic View

This paper reviews six foundational areas that together build a lasting framework for an IT risk management approach.

 White Paper
Insurance Valuations

This article reviews the benefits of accurate insurance valuations and the consequences of inadequate coverage.

 Article
Spoofing and the Limit-Order Book

Navigant Economics’ John Montgomery publishes a Law360 article on the issue of spoofing in the commodities and future markets.

 Article
The Morning Risk Report: U.K. Bribery Act To Show Bite as it Turns Five

David Lawler, Managing Director, Navigant's Global Investigations and Compliance practice, shares his perspectives on the UK Bribery Act after 5 years existence and the likelihood of more “American-style” penalties.

 Article
Business Continuity Management: Evaluating Program Effectiveness

This article provides financial services firms with two methods that Navigant uses to assess the strength of Business Continuity Management Programs: Personnel Assessment and Plan Assessment.

 Article
Advantage Risk and Regulation - Spring/Summer 2016

The Spring/Summer 2016 issue of Advantage: Risk & Regulation examines perspectives on recent global regulations that impact financial institutions and other organizations and provides approaches to maximize the effectiveness of their compliance programs.

 Newsletter
Mapping Your Career: Competencies Necessary for Internal Audit Excellence

Navigant’s James Rose publishes a report sponsored by the Institute of Internal Auditors (IIA) on how to be a more effective internal auditor.

 Article

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FS Publications

Advantage Risk and Regulation - Spring/Summer 2016

The Spring/Summer 2016 issue of Advantage: Risk & Regulation examines perspectives on recent global regulations that impact financial institutions and other organizations and provides approaches to maximize the effectiveness of their compliance programs.

Advantage: Risk & Regulation - Spring Issue 2015

The Spring 2015 issue of Advantage: Risk & Regulation examines perspectives on recent global regulations that impact financial institutions and provides approaches to maximize the effectiveness of their compliance programs.

Experts

Financial Services News

Navigant's Ellen Zimiles Named Among Consulting Magazine Top 25 Consultants

Ellen Zimiles, leader of Navigant's Financial Services Advisory and Compliance segment and head of the Global Investigations and Compliance practice, is recognized by Consulting magazine among the “Top 25 Consultants.”

Navigant Announces Managing Director Promotions

Navigant announces the promotion of 11 of the Firm’s professionals to Managing Director.

Vinay Torani and Joseph Mevorah Strengthen Navigant’s Financial, Risk & Compliance Segment

Today, Navigant announces Vinay Torani and Joseph Mevorah have joined Navigant’s Financial, Risk & Compliance segment in New York.

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