18 Apr 2023
Surveillance Risk Assessments: there must be a better way?
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Top surveillance professionals discussed the challenges of the risk assessment process when they gathered for 1LoD’s recent Surveillance Leaders’ Network in London. 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 banks had come up with a standardised approach. This is not the case.