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.
IMF, Making Banks Safer: Can Volcker and Vickers Do It? (2011) resource White Papers OCEG Reviewed
Summary: This paper assesses proposals to redefine the scope of activities of systemically important financial institutions. Alongside reform of prudential regulation and oversight, these have been offered as solutions to the too-important-to-fail problem.
Authority to Require Supervision and Regulation of Certain Nonbank Financial Companies (2011) resource National Regulations OCEG Reviewed
SUMMARY: Section 113 of the Dodd- Frank Wall Street Reform and Consumer Protection Act (the ‘‘Dodd-Frank Act’’) authorizes the Financial Stability Oversight Council (the ‘‘Council’’) to require a nonbank financial company to be supervised by the Board of Governors of the Federal Reserve System (the ‘‘Board of Governors’’) and be subject to prudential standards in accordance with Title I of the
SEC, Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants (2011) resource National Regulations OCEG Reviewed
Title VII of the Dodd-Frank Act broadly categorizes covered products as ‘‘swaps,’’ regulated primarily by the CFTC, ‘‘security-based swaps,’’ regulated primarily by the Commission, or ‘‘mixed swaps,’’ jointly regulated by the Commission and the CFTC.
IFAC, Global Survey on Risk Management and Internal Control (PAIB Committee, 2011) resource Research / Studies OCEG Reviewed
The PAIB Committee's survey on risk management and internal control received over 600 responses from around the globe. This information paper provides an analysis of the survey results and summarizes respondents' recommendations for the next steps in this area.
Strategic Risk Management: A Case Study of Constellation Energy event WebinarOCEGRecorded
- Do you want to learn how GRC is being implemented to provide strategic advantage in a successful company?
- Are you curious about the steps that have been take to plan and implement a strategic approach to risk management?
- Would you like to hear about the details of a business case for undertaking a significant GRC integration and technology implementation?
This recorded webinar is provided as an educational resource to OCEG Premium Individual and Enterprise level members. We are not able to offer continuing education credit or certificates of completion for recorded events. If you would like to gain NASBA or GRC Certified approved CPE credit, please attend any of our free live webinars.
2011 Aon Global Risk Management Survey resource Research / Studies OCEG Reviewed
Summary: Conducted in 10 languages in Q4 2010, this biennial report represents 960 organizations from 58 countries in all regions of the world. The third of its kind, the report aims to help risk managers stay abreast of emerging issues and learn how their industry and regional peers are managing risks and capturing opportunities.
Free registration required.
Standard & Poor's Ratings: Enterprise Risk Management resource White Papers OCEG Reviewed
"Standard & Poor’s Ratings Services has expanded its review of the financial service industry’s enterprise risk management (ERM) practices. This enterprise risk management initiative is an effort to provide more in-depth analysis and incisive commentary on the many critical dimensions of risk that determine overall creditworthiness.
Chief Risk Officers - Roles and Responsibilities (2011) resource Articles OCEG Reviewed
Articles on CROs and Risk Management issues, hosted by the Enterprise Risk Management Initiative, Poole College of Management, NC State University.
NIST: Guide for Applying the Risk Management Framework to Federal Information Systems: A Security Life Cycle Approach (2010) resource Agency Guidances OCEG Reviewed
NIST Special Publication 800-37, Revision 1 (February 2010)
