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April 2019 - Issue 53
New Issue - Issue Eleven, Risk Insights Magazine

Complimentary 50+ page financial risk and regulation publication - Written by the industry, for the industry. Get your copy free here today. Not sure? Preview the issue here.

A comprehensive report with over 850 end-user perspectives on the Financial Technology Ecosystem.

“One of the biggest challenges in the FinTech space as a consumer is sorting through what is available, how it is used, and ultimately answering ‘how will this help me?’ I think the CeFPro research will bring some straight-forward clarity and expertise the industry needs.” - CeFPro FinTech Advisory Board Member and Head of Electronic Trading at Mizuho Securities.

Access your copy of the report findings here.

8th Annual Risk Americas Convention


"One of the primary challenges in using technology to share intelligence is to make sure that both the storage and transmission of the data are appropriately secured."

Article by Sean O’Malley, Head of AML Risk Management, State Street Corporation


"Unlike much of the other guidance on third party service providers that has been issued by various U.S. regulators over the past two decades, Part 500 is a regulation, and as such, carries the full force and effect of law, in the same way as any other regulation promulgated by a government authority."

Article by James McPherson, Director, Credit Agricole CIB


"The question of regulatory outlook in the U.S. is an especially interesting one, particularly now as the Federal Reserve contemplates an operating role in Faster Payments."

Insight from James Calassano, Product Development and Strategy, The Clearing House


"While there are many common elements to quantitative and qualitative models, simply copying the existing practices for quantitative models may result in inadequate assessment and challenge of the risks posed by these models."

Insight from Ximena Zambrano, Head of Qualitative Model Validation, Wells Fargo


Featured insights

Article by Mark Jordan, CECL Practice Leader, FI Consulting. Financial institutions are now validating their CECL models to be ready to run in parallel with their current ALLL processes. In this thought piece, Mark Jordan describes the particular challenges banks face with their CECL validations and offers best practices on how to be successful with this critical effort.

FI Consulting
FinTech Leaders 2019 Report


The Center for Financial Professionals hosted Risk Americas 2018, at this event, we interviewed Chris Smigielski, Model Risk Director, TIAA Bank.

This interview provides us with an insight into the key challenges Chris is currently facing, model inventory and cecl implementation.


Interview with: Chris Smigielski, Model Risk Director, TIAA Bank
The Center for Financial Professionals hosted its 7th Annual Risk and Regulation Convention – Risk Americas in May 2018, at this event, we filmed a keynote address looking into the future of risk management.,

Led by – Nick Silitch, Group Chief Risk Officer, Prudential.

Keynote Address: Looking into the future of risk management.,  Led by – Nick Silitch, Group Chief Risk Officer, Prudential
Complimentary 50+ page financial risk and regulation publication - Written by the industry, for the industry.

Take a quick preview of the issue here.

Issue Eleven contains articles, interviews and filmed conference sessions with thought leaders from: Function AI, TD Bank, Plootus, PineBridge Investments, BlueVine, HMRC, UBS, Citi, Deutsche Bank, UMB Financial, Regions Bank, TIAA and more.

This report is an attempt to assess the current state of how organisations are managing conduct risks across various geographical regions. The key topics covered by the report include:

Treatment of conduct risk in relation to a wider range of operational risks; Understanding the scope of risks covered as part of conduct risk framework; Key regulatory drivers for conduct risks; Practices on raising awareness on conduct risks within the 1st line; and Key controls implemented for managing conduct risks.


PDF Presentation by Nasser Fattah, Managing Director, Bank of Tokyo Mitsubishi UFJ.

Cyber attacked impact on corporate earnings | Threat analysis | Simulation scenario.


A global survey with risk professionals from across the industry, the survey results will be collated and analysed to form an in-depth report. This annual survey is designed to help benchmark some of the key questions that can indicate the status and health of your third-party risk/supplier risk/vendor risk program.

Take part here.

The survey is completely anonymous and all who take part will receive a copy of the final report.

BitSight Third Party Cyber Risk Report
Featured conference
Risk Americas 2019: 8th Annual Financial Risk and Technology Convention, NYC, May 14 – 15 – are you registered?

North America’s premier gathering returns, featuring more than 60 sessions, over 12 interactive luncheon roundtables, close to 100 presenters, 4 streams across two days, 3 intensive and interactive Pre and Post Convention Masterclasses and 450 attendees – Will you be joining your peers and take advantage of the ‘early bird’ rate, which expires on May 3?

To view the full agenda, speakers, venue and more, visit

Will you be joining us at our upcoming conferences?
June 5-6 - New York City

Global alignment of the payments landscape and the future outlook for US regulation.

June 4-5 - New York City

Aligning industry best practice and incorporating innovation and automation to increase efficiency.


For a full listing of our financial risk and regulation thought leadership please visit

Keep updated on our thought-leadership by following us on social media. We provide all LinkedIn group members preferential rates to attend our events.

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