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Journal of Risk Research, 2021
The emphasis of risk has been recognized as a crucial component to effective and successful policy compliance amidst a crisis. Yet, during the COVID-19 pandemic, when the impact of risk may fluctuate with the severity of the prolonged pandemic, and that ...
Ricci P. H. Yue, B. Lau, C. Chan, S. Ng
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The emphasis of risk has been recognized as a crucial component to effective and successful policy compliance amidst a crisis. Yet, during the COVID-19 pandemic, when the impact of risk may fluctuate with the severity of the prolonged pandemic, and that ...
Ricci P. H. Yue, B. Lau, C. Chan, S. Ng
semanticscholar +1 more source
Building an effective compliance risk assessment programme for a financial institution
Journal of Securities Operations & Custody, 2017A Compliance Risk Assessment programme can be a meaningful, utilitarian and genuinely beneficial risk identification and management tool. This paper outlines some key elements and practical considerations for conducting a CRA.
Stephanie Nicolas, Paul May
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Governance of Risk and Compliance
2010Every organization is exposed to events that have some likelihood of adversely impacting its objectives. This exposure includes laws and regulations—such as the Foreign Corrupt Practices Act (FCPA) and privacy regulations—that can result in significant consequences to a business. Proper management of, for example, relationships with vendors, customers,
Robert Cirabisi, Kenneth V. Handal
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Best execution compliance: new techniques for managing compliance risk
The Journal of Risk Finance, 2006PurposeNew regulatory initiatives, principally MiFID and RegNMS, challenge wholesale financial firms to prove that they can provide best execution for their clients. This article aims to outline the background to the problem and suggest that current research into SVM/DAPR applications may provide a practical approach.Design/methodology/approachThe ...
Michael Mainelli, Mark Yeandle
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Consent, Risk and Compliance: Technologies and Processes
2016 30th International Conference on Advanced Information Networking and Applications Workshops (WAINA), 2016Information about us is increasingly interesting to those who wish to understand our persona, our interests, and the context within which we lives our lives. Regulation follows with the aim to maintain our privacy in modern times. However, such regulation doesn't prescribe the detail of the processes needed to support the intended objectives of ...
David Lund +4 more
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Risk Classification as an Incentive to Taxpayers’ Compliance
Journal of Management Policy and Practice, 2018Managing and improving tax compliance is a main challenge for tax administrations. They seek compliance through monitoring, auditing and punishing penalties. This paper proposes a model based on trustworthy, transparency and incentives. The proposal is a classification of tax liability risk of companies and incentives to consistent compliance behavior.
Lanz, Luciano Quinto +1 more
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An integrated method for compliance and risk assessment
2015 IEEE Conference on Communications and Network Security (CNS), 2015This paper presents an integrated method for risk and compliance assessment and its evaluation in a case study. The sophistication with which modern business is carried out and the unprecedented access to a global market means that businesses are exposed to diverse regulatory requirements in and across jurisdictions.
Samson Yoseph Esayas +4 more
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The Evolution of Compliance Function and Compliance Risk in Investment Services
SSRN Electronic Journal, 2009This research focuses on the advancement of the Compliance function within banks, investment and insurance companies and on the effect of applying Community regulations as called for by the MiFID Directive. Eighty four financial intermediaries: banks, investment companies and insurance companies took part in this research.
Paola Musile Tanzi +10 more
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