What Are the Top Operational Risks for Banks? Historically, the banking sector has always been plagued by vulnerabilities and risks. The global financial crisis of 2007 and 2008 is an indicator of this fact. Robust risk and compliance management programs and use of technology have helped banks to make good progress on the risk management front. While these control systems and risk management protocols are constantly evolving, operational risk always remains a concern. Read more
What is Business Continuity Risk? In today's ever-evolving business landscape, companies face a myriad of risks that can disrupt their operations and threaten their very existence. Among these, "Business Continuity Risk" looms as a potential disruptor that demands vigilant attention. Business continuity risk refers to threats or risks that disrupt the functioning of a business. These threats maybe any untoward incidents or disasters that negatively impact an organization. Read more
What Do the New Advertising Regulations Mean for RIAs? If the recent proposal for amending the RIA advertising rules becomes a reality, RIAs (Registered Investment Advisers) can start using testimonials and third-party ratings in their advertisements very soon! Just like how lawyers woo their prospects using their clients' stories of million-dollar settlements in their favor, investment advisers can soon advertise testimonials of how their clients have benefitted through their services. Read more
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