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FCPA Q2 2016 Report

During the recently completed second quarter of 2016, the Department of Justice resolved three matters and the Securities and Exchange Commission resolved four matters.

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Navigant Bolsters Risk and Compliance Expertise with Seven New Directors

Former state and federal enforcement officials, technology compliance, and financial industry experts lend investigations and compliance experience.

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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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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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Financial Services

FCPA Q2 2016 Quarterly Report

During the recently completed second quarter of 2016, the Department of Justice (“DOJ”) resolved three matters, the same number as during the first quarter, and the Securities and Exchange Commission (“SEC”) resolved four matters, down from eight in the first quarter.

 Newsletter
Hot Money Provokes Governments to Restrict Foreign Capital

Navigant’s Keith Palzer discusses best practices for investors regarding foreign governments’ restrictive policies regarding “hot money.”

 Article
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
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
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

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FS Publications

FCPA Q2 2016 Quarterly Report

During the recently completed second quarter of 2016, the Department of Justice (“DOJ”) resolved three matters, the same number as during the first quarter, and the Securities and Exchange Commission (“SEC”) resolved four matters, down from eight in the first quarter.

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.

Experts

Financial Services News

Navigant Bolsters Risk and Compliance Expertise with Seven New Directors

Navigant announces the addition of seven new directors to support the Firm’s expanding Financial Services Advisory and Compliance segment. These new senior professionals strengthen Navigant’s capabilities in anti-money laundering (AML), anti-bribery and corruption, white collar crime, and other financial regulatory and compliance practice areas.

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.

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