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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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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 ... -
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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 ... -
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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 ... -
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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. ... -
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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 ... -
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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. -
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Managing conduct risk is getting harder. Hybrid working complicates the 1st and 2nd line control and compliance processes, and radically impacts corporate culture. -
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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 ... -
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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 ... -
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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 ... -
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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 ... -
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Banks see significant scope for improving their trade surveillance processes against the backdrop of stricter regulation. Risk-based approaches are maturing, so transparent risk metrics and tolerances ...