Knowledge Hub

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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  • Surveillance chiefs covered the hottest topics in their field – the basics of core channel capture, the complexities of video analytics based on artificial intelligence (AI) and the challenge of detec ...
  • Financial crime compliance cost an estimated $214 billion last year across all financial institutions, up from about $180 billion in 2020. The United Nations estimates that as much as $2 trillion is l ...
  • Measuring the ability of banks “to prevent, adapt, respond to, recover and learn from operational disruptions” is proving tough. In private, banks say they struggle with a regulatory regime that lacks ...
  • 1LoD’s recent Deep Dive into how the 3 lines of defence manage environmental, social and governance risk revealed what global ESG leaders think about the nature of that risk, the maturity of their rel ...
  • Different digital assets – whether low-risk digital bonds or other tokenised securities, or non-fungible tokens (NFTs) such as works of art – are covered by different legal and regulatory frameworks. ...
  • Buy-side firms are just as savvy as the leading banks when assessing surveillance issues, a message that came across very clearly at 1LoD’s in-person Buy-Side Surveillance Leaders Network in New York ...
  • E-comms surveillance tops the list of priorities for enterprise risk management, according to participants in 1LoD’s recent in-person Surveillance Leaders Network in New York.
  • Managing conduct risk is getting harder. Hybrid working complicates the 1st and 2nd line control and compliance processes, and radically impacts corporate culture.
  • Banks are tightening their surveillance of various communications channels and extending the scope beyond traditional boundaries. This reflects concerns over the banks’ broader culture and a clampdown ...
  • To meet even the minimum standards, risk and control functions require clean, accurate trade data across all the regulated markets so they can monitor market abuse, and transaction and customer data f ...
  • The new 1LOD

    09 Aug 2022
    Proactive communications training that mitigates risk and cuts the review time for e-comms. Surveillance teams receive a daily deluge of alerts which must be reviewed in case further investigation is ...
  • Banks are struggling to stay ahead of change, even with the 3 lines of defence model and sophisticated layers of checking, monitoring, assurance and challenge. That was the main message from one of th ...