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Risk and Compliance

SSRN Electronic Journal, 2021
Many organizations are facing complex risk management issues and are ill equipped to sufficiently mitigate risk in a focused manner. Studies have shown that an astonishing 57% of senior level executives label “risk and compliance” as the two top categories they feel least prepared to address (Quantivate, 2019, para. 1).
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Best execution compliance: new techniques for managing compliance risk

The Journal of Risk Finance, 2006
PurposeNew 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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EURO COMPLIANCE RISKS

Computer Law & Security Report, 2002
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, 2014
To 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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