Skip to main content
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.
-
)
All of the participating banks recognised the importance of running adverse media screening checks as part of their compliance and anti-money laundering (AML) procedures. And all of them said that the ... -
)
While banks routinely find fault with regulatory nuances, it is clear that in financial crime the disconnect between technical compliance and the real-world objective of preventing financial crime is ... -
)
No matter what the subject, attendees returned again and again to one theme: “Everything is regulatory. It’s supposed to be all about fighting financial crime, protecting institutions, but day-to-day ... -
)
XLoD Global – London attracted more than 630 senior practitioners from 1st line risk and control functions, 2nd line compliance units and 3rd line audit teams over three days in November. Clear themes ... -
.png/fit-in/500x500/filters:no_upscale())
US regulators have fined top financial institutions about $2 billion over the past year, issuing a clear warning to banks that they need to fix the way they monitor communications, particularly modern ... -
)
As recent US and UK enforcement actions have shown, policies are not enough: regulators are now clamping down on unmonitored communications channels, imposing oversight mandates via third-party compli ... -
)
It has become more difficult for financial services firms with regulated employees to monitor new communications channels for market abuse and conduct risk, mainly because of modern market practices. ... -
)
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 ... -
.png/fit-in/500x500/filters:no_upscale())
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 ... -
.png/fit-in/500x500/filters:no_upscale())
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 ... -
.png/fit-in/500x500/filters:no_upscale())
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. ...