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Knowledge Hub


The 2024 Surveillance Benchmarking Survey & Report

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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  • Has the recent collapse of key institutions in the financial sector driven a re-evaluation of risk management roles and responsibilities?  
  • Non-financial risk managers say they are often torn between meeting regulatory requirements and detecting, mitigating  or preventing genuine risks
  • Financial crime professionals say it is difficult to meet technical compliance requirements and, at the same time, deter criminals.
  • Surveillance teams will need to adopt new technology and a more integrated approach in response to the regulatory focus on fixed-income markets and cross-market manipulation.
  • The demise of Credit Suisse has shown, yet again, how culture can drive a bank’s performance and, ultimately, determine whether it survives. Shortly before that news story broke
  • Traditionally the 2nd line compliance function comprised regulatory relations and business advisory, policy and ownership of risk appetite in the sense of monitoring adherence to it, plus activities s ...
  • How do banks ensure that their voice and video surveillance processes achieve the right balance between risk mitigation, compliance, and cost, particularly given the paucity of regulatory guidance? An ...
  • Industry leaders, regulators and representatives of law enforcement gathered at 1LoD’s New York Financial Crime Summit recently to exchange insights on the latest developments in anti-money laundering ...
  • Top surveillance professionals discussed data challenges in the context of monitoring trade and e-comms when they gathered for 1LoD’s recent Surveillance Leaders’ Network in London. Of the 30 surveill ...
  • When regulators conduct examinations, they generally start by looking at what they call the market (abuse) risk assessment, or M(A)RA: so it would be reasonable to assume that the regulators and the b ...
  • Senior surveillance leaders discussed how to detect a wide range of risks embedded in e-comms and voice communication data, as well as in broader datasets of HR risk data and trader profiling, when th ...
  • The effective management of non financial risk dominated discussions at the XLoD Leaders’ Network in New York, which was hosted by 1LoD recently. In the ideal model, attendees said, most of the risk a ...