Results 251 to 260 of about 1,855,090 (310)
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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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Computer Law & Security Report, 2002
Abstract Kit Burden considers the risks associated with the conversion of systems to ‘euro compliance’.
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Abstract Kit Burden considers the risks associated with the conversion of systems to ‘euro compliance’.
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Appointment Compliance Among High Risk Newborns
The Indian Journal of Pediatrics, 2014To the Editor: Neonatal follow up programs are vital for high risk infants discharged from neonatal intensive care unit (NICU). Higher rates of neuro-behavioral disabilities were reported in non-compliant infants than infants who attended all the scheduled visits [1].
Jyoti, Prajapati +3 more
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Compliance Versus Risk in Assessing Occupational Exposures
Risk Analysis, 1997Assessments of occupational exposures to chemicals are generally based upon the practice of compliance testing in which the probability of compliance is related to the exceedance [γ, the likelihood that any measurement would exceed an occupational exposure limit (OEL)] and the number of measurements obtained.
Tornero-Velez, R. +4 more
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Risk‐based compliance monitoring
Journal of Financial Regulation and Compliance, 1999This paper sets out the fundamental generic concepts behind applying a risk‐based approach to monitoring compliance with PIA's regulations. It also looks at some of the practical considerations for implementing such a system. Every insurance company understands the concept of identifying and measuring risk for the purpose of underwriting — but few ...
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Tackling risk‐based compliance
Journal of Investment Compliance, 2006PurposeThis paper seeks to recommend a way for the compliance function to identify, monitor, and report the risks it faces to the firm's management.Design/methodology/approachOutlines the principal challenges in setting up a risk reporting system and recommends a three‐phase approach for implementing such a system.FindingsDeveloping a risk reporting ...
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Enterprise Compliance Risk Management
2015Preface xi Acknowledgments xiii About the Author xv Opening Notes xvii Design and Structure of the Book xix PART ONE Introduction to Compliance in Financial Services CHAPTER 1 An Overview of Compliance in Financial Services 5 CHAPTER 2 Compliance in the Twenty-First Century 25 PART TWO The What, Why, and Who of Compliance CHAPTER 3 What Is Compliance ?
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Poor compliance: The hidden risk factor
Current Atherosclerosis Reports, 2000Poor compliance with prescribed regimens remains a potent barrier to good outcomes in coronary heart disease and other chronic diseases. Such poor compliance is related to disease, patient, provider, and treatment factors and has yet to be fully understood. In general, the less complex the regimen, the better informed the patient and the physician, and
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Compliance and Risk Management Committee
SSRN Electronic Journal, 2020Compliance with laws and regulations applicable to the company’s business activities and identifying and managing the risks associated with those activities are two of the fundamental duties and obligations of the board of directors. The emergence of sustainability as a new factor for consideration in boardrooms has expanded the compliance duties to ...
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ENTERPRISE COMPLIANCE RISK ANALYSIS
Вестник Академии права и управленияСтатья посвящена анализу комплаенс-рисков предприятия. Рассмотрены сущность, цели и основные функции управления комплаенс-рисками предприятия. Установлены направления идентификации комплаенсрисков предприятия. Выделены параметры анализа уровня комплаенс-риска. Разработан методический подход к анализу комплаенс-риска предприятия.
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