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New technologies allow banks to capture communications channels and solve long-standing issues in e-comms surveillance. -
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1LoD brought together more than 460 people from close to 100 different institutions in New York recently so that leaders in the management of non-financial risks across the 3 lines of defence could sh ... -
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The hype around ChatGPT is maybe overdone, but AI and large language models will certainly transform thousands of processes across almost every industrial sector. -
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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? -
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Non-financial risk managers say they are often torn between meeting regulatory requirements and detecting, mitigating or preventing genuine risks -
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Financial crime professionals say it is difficult to meet technical compliance requirements and, at the same time, deter criminals. -
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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. -
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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 -
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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 ... -
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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 ... -
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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 ... -
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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 ...