- Posts in 2016
The Knowledge Series - Regional Regulatory Themes: What Have We Seen In 2016 and What Can We Expect in 2017?
In the 10th issue of the Knowledge Series, we look at the key regulatory themes of the past year and what we can expect in 2017, including Embedding Compliance into the Corporate Culture of Regulated Firms, Product Governance, AML, CTF and Sanctions, Cybercrime, Client Classification and Suitability, Data Protection and Costs of Compliance
Issue 9 in the Knowledge Series looks at the importance of structuring the Compliance function in a way which is relevant to the business and effective in meeting compliance objectives.
In the 8th Issue of the Knowledge Series, we look at the growing importance of conduct risk and how to approach it.
Issue 7 in The Knowledge Series looks at the purpose of compliance training and whether or not it can change employee behaviour.
Issue 6 in the Knowledge Series looks at Risk-Based Resource Planning and Allocation.
Issue 5 in the Knowledge Series looks at how enforcement actions by regulators can inform senior management on key risk areas and themes in order to focus their compliance agendas.
Issue 3 in the Knowledge Series looks at money laundering, terrorist financing and sanctions risks and how firms can manage them with a consistent, risk-based approach.
The second issue in the Knowledge Series looks at the purpose behind the ICAAP, and the procedures firms should follow in preparing an ICAAP report.