Financial Services Forum on Principled Performance-Managing Critical Risks event Seminar
This Forum is jointly presented by OCEG and the PRMIA Ireland Chapter and hosted by Deloitte. It is made possible by the generous support of the Forum Sponsors, Deloitte and RSA Archer.
The Forum is free to attend, but space is limited so please register promptly to ensure availability. Attendees may participate in the full forum or select a half day program.
AML Illustrated Series: #2 What Does an Effective AML Business Risk Assessment Program Look Like? resource Anti-Money Laundering Illustrated OCEG Reviewed
This second installment in the four part AML Illustrated Series addresses the design of an effective assessment of business risks that may enable money laundering, and how to control or change them. Download the illustration using the Download Document button to the right.
AML Illustrated Series: #1 Building an Effective Anti-Money Laundering Program resource Anti-Money Laundering Illustrated OCEG Reviewed
Part one of the four part Anti-Money Laundering Illustrated Series provides an overview of the design of an effective AML program.
The Network Policy Management
- IT.22 - Policy Mgmt, Communication & Training
- M1. Context Monitoring
- P1. Proactive Actions & Controls
- I2. Communication
- M2. Performance Monitoring
- P2. Codes Of Conduct
- C3. Culture
- M3. Systemic Improvement
- P3. Policies
- R3. 3rd Party Inquiry & Investigation
- M4. Assurance
- P4. Education
- P5. Incentives
The Network Reporting & Analytics
- IT.05 - Compliance Management
- IT.07 - Control Activity, Monitoring, and Assurance
- IT.13 - Fraud and Corruption Detection, Prevention & Mgmt
- IT.15 - Hotline/Helpline
- IT.17 - Insurance & Claims Management
- IT.19 - Issue and Investigations Management
- IT.20 - Matter Management
- IT.21 - Physical Security & Loss Management
- IT.22 - Policy Mgmt, Communication & Training
- IT.27 - Strategy, Performance, and Business Intelligence
- D1. Detective Actions & Controls
- I1. Info Management
- M1. Context Monitoring
- O1. Commitment
- M2. Performance Monitoring
- D3. Inquiry
- I3. Technology
- M3. Systemic Improvement
- M4. Assurance
ISM Advisory and/or Audit Firm
Learn from the experience of others and share your experience! blog
Have you ever asked your peers or professional colleagues what risk management or compliance tools they use? We value the ground well tread because we know that learning comes from making mistakes. How would you like to know what 1000's of your peers are saying about GRC ven
Guidance on Due Diligence Requirements in Determining Whether Investment Securities Are Eligible for Investment, Proposed guidance with request for comment (November 2011) resource Agency Guidances OCEG Reviewed
The Office of the Comptroller of the Currency (OCC) is proposing guidance to assist national banks and Federal savings associations in meeting due diligence requirements in assessing credit risk for portfolio investments.
SEC Jointly Proposes Prohibitions and Restrictions on Proprietary Trading (2011) resource Agency Guidances OCEG Reviewed
Washington, D.C., Oct. 12, 2011 - The Securities and Exchange Commission today voted to propose a rule implementing the so-called "Volcker Rule" requirements. The requirements stem from Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
