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, 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.
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)
Asia Risk Magazine resource Books / Publications OCEG Reviewed
Published by Incisive Financial Publishing Limited (UK.) Posted at Risk.net.
Operational Risk & Regulation Magazine resource Books / Publications OCEG Reviewed
A monthly magazine published by Incisive Financial Publishing Limited and posted at Risk.net.
NCUA, Corporate Credit Unions (2011, Final Rule) resource National Regulations OCEG Reviewed
Summary: NCUA is issuing final amendments to its rule governing corporate credit unions (corporates). The amendments include internal control and reporting requirements for corporates similar to those required for banks under the Federal Deposit Insurance Act and the Sarbanes-Oxley Act.
