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compliance (174)
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While every business understands the critical nature of regulatory compliance, we frequently hear about compliance violations and massive fines levied by regulatory bodies. Enforcing regulatory compliance is a challenging task because it requires compliance from every stakeholder in the business process. The employee dealing with customers on the front line must be aware of the organization's compliance requirements, but they are only the first line of defense. Then it becomes their manager's re
Both risk and compliance management are dynamic fields that constantly evolve. Risk and compliance are impacted by a changing business environment, the economy, changing customer demands, and a company's vision, among other factors. Most of the changes we have observed in banking have been driven by information technology. The 2008 financial crisis was another significant force for change, as it forced the banking industry to rethink its risk management practices in light of the financial crisis
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The FinTech revolution has allowed many new players to enter the market. Disruptive banks and open banking have become serious competition for traditional banks. These new banks and financial services applications have yet to build a reputation. But that also means that they are not notoriously unethical. Which is probably an advantage.
Step 1: Make Integrity Your Core Value
Banking is a business based on trust. And trust is based on the belief that a company conducts its business with integri
The changing environment and the dynamic transformation of financial sector entities towards digital and multi-channel banking, requires compliance management professionals and especially the Compliance Officer an academic p repair comprehensive and multidisciplinary to be able to respond and meet the demands of a world in constant transformation. The compliance function is more demanding every day due to state regulations ‘local and external’ and expectations of the Board of Directors, so it is
How to Conduct an Ethics & Compliance Risk Assessment
An ethics and compliance risk assessment can help you understand where unethical or illegal conduct might occur within your organisation. This detailed 40-page guide offers a 12-step framework that will help you complete your own ethics and compliance risk assessment.
Armed with your findings and action plan, you will be equipped to develop and implement an effective ethics and compliance programme.
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This is a transcription of our recent interview with Evgeny Likhoded, CEO and founder of ClauseMatch.
You can watch the original video interview here or tune in to this episode on our Risk Management Show podcast here or via iTunes, Spotify and other podcast apps by searching "Risk Management Show"
Boris: Hello ladies and gentlemen, and welcome to our interview with Evgeny Likhoded. Evgeny is a CEO and founder of ClauseMatch which provides financial institutions with the modern compliance pla
The Definitive Guide to Ethics and Compliance Programmes
An effective ethics and compliance programme is critical to running a productive, reputable, and successful business. This complimentary guide, authored by business ethics consultancy StudioEtica and risk and compliance experts NAVEX Global, provides a step-by-step framework that will help your programme deliver on industry best practices to achieve optimum outcomes and programme ROI.
Whether you are looking to advance your existing ethic
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As there is an increase in money transaction activities. It has been observed that in past few years, instances of money laundering have been increased. These incidences have become very challenging for finance sectors and financial institutions. This has resulted in the augmented adoption of anti-laundering software. The accelerating number of cultured cyber-attacks have raised the concerns of significant losses in a number of industries and organization. It is the need of the hour to adopt Ant
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This is a transcription of our interview with Shubhradeep (Shub) Nandi, CEO of PiChain.
You can watch or listen to the interview on our Risk Management podcast here or via any podcast app.
Boris. Welcome to the Risk Management Show. I am Boris Agranovich founder and CEO at Global Risk Community. In this episode we are talking with Shub Nandi, founder of PiChain which is a RegTech company on a mission to make compliance sustainable. It develops a deep tech system that can provide, practically l
