Building an effective compliance risk assessment programme for a financial institution
Year of publication: |
2017
|
---|---|
Authors: | Nicolas, Stephanie ; May, Paul V. |
Published in: |
Journal of securities operations & custody. - London : Stewart, ISSN 1753-1802, ZDB-ID 2419620-4. - Vol. 9.2017, 3, p. 215-224
|
Subject: | compliance risk assessment(s) | compliance assessment(s) | conduct risk | risk assessment(s) | inherent risk(s) | residual risk(s) | Finanzdienstleistung | Financial services | Risikomanagement | Risk management | Risiko | Risk | Bankrisiko | Bank risk |
-
Why is managing conduct risk critical for a firm's board?
Baijal, Rajat, (2018)
-
Governance as the driver of culture change and risk management
Cohen, Marcy S., (2015)
-
An emergent taxonomy for operational risk : capturing the wisdom of crowds
Carrivick, Luke, (2020)
- More ...
-
Research analyst independence: Efforts to eliminate conflicts lead to conflicting requirements
Lee, Yoon‐Young, (2003)
-
Yim, Soo J., (2009)
- More ...