Skip to main content
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.
-
.png/fit-in/500x500/filters:no_upscale())
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 ... -
.png/fit-in/500x500/filters:no_upscale())
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 ... -
.png/fit-in/500x500/filters:no_upscale())
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 ... -
.png/fit-in/500x500/filters:no_upscale())
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 ... -
)
All of the participating banks recognised the importance of running adverse media screening checks as part of their compliance and anti-money laundering (AML) procedures. And all of them said that the ... -
)
While banks routinely find fault with regulatory nuances, it is clear that in financial crime the disconnect between technical compliance and the real-world objective of preventing financial crime is ... -
)
No matter what the subject, attendees returned again and again to one theme: “Everything is regulatory. It’s supposed to be all about fighting financial crime, protecting institutions, but day-to-day ... -
)
XLoD Global – London attracted more than 630 senior practitioners from 1st line risk and control functions, 2nd line compliance units and 3rd line audit teams over three days in November. Clear themes ... -
.png/fit-in/500x500/filters:no_upscale())
US regulators have fined top financial institutions about $2 billion over the past year, issuing a clear warning to banks that they need to fix the way they monitor communications, particularly modern ...