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In our Knowledge Hub you can find lots of insightful reports, covering a variety of challenges and topics of interest for the 3 lines of defence. You can browse through all the content or select a filter to see specific topics within the Knowledge Hub.
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Some banks run surveillance from the 1st line, but for most banks it’s a 2nd line function – and for many, the distinction is not important. What they are struggling with is the traditional basket of ... -
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The need for next-generation voice surveillance programmes is becoming ever more urgent. A recent, significant enforcement against J.P. Morgan Securities and a more transparent regulatory stance have ... -
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1LoD gathered professionals from across North America in March for a virtual deep dive into the current state of play in energy trading surveillance. With senior representation from the regulators, pr ... -
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Read our report to find out what your peers think on a number of issues and benchmark. Of the emerging risk types, ESG topped attendees’ priority lists. The key findings were startling... -
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Listen to the podcast: "AML makes breakthrough in technical compliance" below. This part of the Financial Crime Roundtable report series. -
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1LoD’s recent roundtable on anti-bribery and corruption revealed concerns over data, new risks, overall policy and the current ownership of ABC risk itself. So, where does most ABC risk lie and what d ... -
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Russia’s invasion of Ukraine is a timely reminder of just how important it is to get sanctions screening right – no easy task given that this is a complex, fast-evolving area in the field of financial ... -
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Financial institutions have struggled to design and build successful anti-money laundering programmes, their efforts hampered by political ambivalence, limited regulatory resources, and complex operat ... -
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View 'Emerging Trends in Culture Reform: The New York Fed’s Perspective', a keynote from James Hennessy, Senior Vice President, Head of Culture Initiative, Federal Reserve Bank of New York. -
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Banks are under pressure to improve the efficiency and effectiveness of their surveillance processes. Many of them are looking at ways to aggregate intelligence gleaned from invariably separate e-comm ... -
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After a year of record fines, banks will be going into 2021 keen to future-proof their controls, culture and their tech. Ideal Prediction has a solution. -
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Most financial institutions know that data embedded in email and other forms of communication have the potential to transform market abuse programmes. They also know that they can use AI-based technol ...