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Fund Services Guide to Improved Operational Effectiveness

Experts from Navigant and MetaOps demonstrate frequently occurring operational challenges and proven solutions using real life case studies.

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Navigant

Spring 2015 Issue of Advantage: Risk & Regulation

Learn about recent global regulations impacting financial institutions and methods to maximize the effectiveness of compliance programs.

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Navigant

2015 SEC and FINRA Examination Priorities

Read our latest client alert to learn how Financial institutions can ensure compliance programs adequately address the SEC and FINRA’s 2015 examination priorities.

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Navigant

Rationalize Controls Using Lean Six Sigma Principles

To efficiently and effectively manage compliance, Navigant recommends that banks proactively rationalize their internal control structure, taking a holistic approach and incorporating Lean Six Sigma principles.

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Navigant

Financial Services

Fund Services Guide to Improved Operational Effectiveness: Real OpEx Case Studies

In the paper Fund Services Guide to Improved Operational Effectiveness: Real OpEx Case Studies, experts from Navigant and MetaOps demonstrate these frequently occurring operational challenges and proven solutions using real life case studies that we have encountered throughout our work.

 White Paper
Client Alert: 2015 SEC and FINRA Examination Priorities

Client Alert: 2015 SEC and FINRA Examination Priorities highlights the SEC and FINRA’s examination priorities and how Financial institutions should work quickly to proactively assess and ensure that their current compliance programs adequately address these priorities.

 White Paper
Client Alert: Dark Pools and the New Frontier of Regulation

Client Alert: Dark Pools and the New Frontier of Regulation discusses the SEC’s new rules, collectively known as Regulation Systems Compliance and Integrity and how they apply to certain self-regulatory organizations.

 White Paper
IT Project Success Factors

This paper shares experiences and success factors that can keep your most important IT projects in green status

 White Paper
Affordability Limits on Small-Dollar Lending Likely to Devastate Consumers According to Navigant Economics

A new study found that arbitrarily setting limits on small-dollar consumer loans will cripple access to credit for those who need it most, according to Dr. Anand Goel of Navigant Economics.

 Article
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.

 Newsletter
Rationalize Controls Using Lean Six Sigma Principles to Combat Rising Regulatory Management Costs

To efficiently and effectively manage compliance, Navigant recommends that banks proactively rationalize their internal control structure, taking a holistic approach and incorporating Lean Six Sigma principles.

 White Paper
Financial Services Enforcement Actions Tracker Q3 2014

Navigant’s Research Services Group collected actions taken by the FED, OCC, FDIC, CFPB, and other regulators during the past four quarters surrounding issues such as deceptive collection practices, money-laundering, allowances for loan & lease losses (“ALLL”), insufficient management oversight, inadequate internal controls, and unsound / deceptive banking practices.

 Research

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FS Publications

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.

Advantage: Risk & Regulation - Fall Issue 2014

The 2014 Fall Issue of Advantage: Risk & Regulation highlights current regulatory trends, evolving risks, and compliance issues, while providing insight into how these factors can impact your organization.

Experts

John Rao

John Rao is a Managing Director and leads the US Financial Services practice. John advises clients on strategy, technology, operations improvement and regulatory compliance.

Financial Services News

David Maughan Joins Navigant's Valuation & Financial Risk Management Practice as Managing Director

David Maughan has been appointed Managing Director within Navigant’s Valuation & Financial Risk Management practice.

FATCA FIND ENHANCED THROUGH COLLABORATION BETWEEN NAVIGANT AND APPWAY

Navigant and Appway announce FATCA FIND®, Navigant’s proprietary software solution designed to efficiently address the onerous requirements for pre-existing account review dictated by the Foreign Account Tax Compliance Act (FATCA), has been enhanced by combining Appway’s award-winning technology with Navigant’s industry-leading financial services expertise.

Commercial Property Crisis Looming in UK and Europe, Warns Navigant

Research by Navigant indicates a looming commercial property funding crisis in the U.K. and Europe

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