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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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Banks, their customers, and the fraudsters that prey on them went digital long before the pandemic provided an additional incentive. This cyber-enabled industrialisation of fraud requires a digital re ... -
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1LoD brought together leaders from all 3 lines of defence in March to consider the knotty problem of collaboration – in particular, whether regulation, data, organisation and independence get in the w ... -
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Recent US enforcement actions have highlighted the difficulties banks face in surveilling the communications channels and asset classes regulators demand. The fines reveal failings across the surveill ... -
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Much has changed in the financial services industry over the decades, from products and technology to conduct and culture. The bad behaviour of the 1980s – as depicted in Liar’s Poker, The Bonfire of ... -
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The traditional know your customer, or KYC, process is changing. The core customer due diligence (CDD) and enhanced due diligence (EDD) processes will need to provide a more continuous, risk-based rev ... -
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Some banks run surveillance from the 1st line, but for most banks it’s a 2nd line function – and for many, the distinction is not important. What they are struggling with is the traditional basket of ... -
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The need for next-generation voice surveillance programmes is becoming ever more urgent. A recent, significant enforcement against J.P. Morgan Securities and a more transparent regulatory stance have ... -
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1LoD gathered professionals from across North America in March for a virtual deep dive into the current state of play in energy trading surveillance. With senior representation from the regulators, pr ... -
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Read our report to find out what your peers think on a number of issues and benchmark. Of the emerging risk types, ESG topped attendees’ priority lists. The key findings were startling... -
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Listen to the podcast: "AML makes breakthrough in technical compliance" below. This part of the Financial Crime Roundtable report series. -
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1LoD’s recent roundtable on anti-bribery and corruption revealed concerns over data, new risks, overall policy and the current ownership of ABC risk itself. So, where does most ABC risk lie and what d ... -
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Russia’s invasion of Ukraine is a timely reminder of just how important it is to get sanctions screening right – no easy task given that this is a complex, fast-evolving area in the field of financial ...