The following 151 items are listed by Content Data.
Articles
At RegTech Conference, Protiviti and IRTA Sound an Urgent Call for KYC Optimization
This article shares some valuable ‘‘know your customer’’ (KYC) insights and recommendations based on both the results of...
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Benchmarking Reports
Executive Perspectives on Top Risks in 2020: Financial Services Industry Group Results
This report illustrates the top risks financial services firms should keep in mind throughout 2020, based on the results...
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Articles
Report: UK Regulators Urged to Hold Firms and Individuals Accountable for “Unacceptable” Number of IT Failures
This article provides a list of questions that can be used to stimulate a discussion on operational resilience at the bo...
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Performer Profiles
Fidelity Investments: From Goodness to Greatness — Going All-In on Agile Auditing
In this profile, Jeffrey Jarczyk, executive vice president and chief auditor at Fidelity, explains how his team blends s...
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Articles
The OCC’s 2020 Supervision Plan Targets Emerging Risks Facing Financial Institutions
This article discusses the Office of the Comptroller of the Currency’s supervisory plan for 2020, which is designed to h...
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Articles
With a Change in the Credit Cycle, a Rise in Special Assets Is Likely: Is Your Institution Prepared?
This article outlines risk identification, monitoring, measuring and control measures that could help financial institut...
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Articles
It’s Time for a Closer Look at Consumer Loan Monitoring: Here Are Some Best Practices
This article focuses on three areas that can help risk managers enhance credit risk management practices over consumer p...
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Articles
Hong Kong Rated ‘‘Compliant’’ by Financial Action Task Force but Room for Improvement Remains
This article shares insight on Hong Kong’s strong legal foundation for combating money laundering and terrorist finance ...
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Performer Profiles
Deutsche Telekom: Stronger Connections — Internationalizing Internal Audit
Learn how Deutsche Telekom is internationalizing its internal audit process based on international standards for the pro...
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Articles
Leaders in Audit: How the Financial Services Industry Is Applying Next-Gen Audit Practices
This article outlines the next-generation audit efforts employed by leading financial services industry organizations lo...
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Performer Profiles
Country Road Group and David Jones: Influencing Stakeholders via Commercial Insights
In this profile, Mark Rogan, regional head of internal audit at Country Road Group and David Jones, highlights how his t...
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Audit Reports
Privacy Compliance Program Review Audit Report
This sample report focuses on the privacy compliance state at a financial institution and uses a capability maturity con...
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