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Dark Pools and the New Frontier of Regulation

Our latest client alert examines the SEC’s new rules, collectively known as Regulation Systems Compliance and Integrity and how they apply to certain self-regulatory organizations.

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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

IT Project Success Factors

This paper highlights success factors to keep your most important IT projects in the green status.

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Navigant

Tax Evasion Risk

Read our latest perspective to learn how past enforcement, actions and recent releases by FINCEN, FATF, and the OECD place even higher demands on financial institutions to combat tax evasion.

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Navigant

Financial Services

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
Evaluating the Financial Institution’s Tax Evasion Risk

Evaluating the Financial Institution’s Tax Evasion Risk discusses how past enforcement, actions and recent releases by FINCEN, FATF, and the OECD place even higher demands on financial institutions to combat tax evasion.

 White Paper
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
What's the Deal? Risks of Pre and Post-Acquisition Disputes in an Active M&A Market

Mergers and acquisitions (M&A) activity will continue in 2015. Brian Sullivan of Navigant provides his perspectives regarding the areas in M&A that are frequently disputed.

 Article
Evolution of Collateral Management

As collateral management becomes increasingly complex, Navigant’s Thomas Grande discusses various collateral management approaches available to investment managers.

 Article

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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

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

European Commercial Refinancing Debt Could Spark New Crisis

The European commercial property industry could see a crisis in the next two years, as up to £600 billion - $967 billion - of the loans made to commercial property borrowers will require refinancing within that period.

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