Patriot act
A long hard look at fraud
Original headline:
Source: Operational Risk & Regulation
The fight against fraud and money laundering in the US is hampered by too much focus on terrorist funding on one hand, and criminal prosecutions of banks on the other, say industry experts. But both law...
Published online only
Source: Operational Risk & Regulation
Compliance on the buy side might reward the early adopters while penalizing firms that fall afoul of industry best practices and institutional investors' expectations.
Published online only
Source: Operational Risk & Regulation
Increasing regulatory oversight and static IT budgets create compliance headaches for the CIOs and CTOs of DrKW, Evergreen Investments, and JPMorgan Investor Services.
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More Patriot act articles
The Compliance Pain
Published online only
Source: Operational Risk & Regulation
Increasing regulatory oversight and static IT budgets create compliance headaches for the CIOs and CTOs of DrKW, Evergreen Investments, and JPMorgan Investor Services.
Compliance: The Shot Heard 'Round the World
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Source: Operational Risk & Regulation
Regulatory compliance means different things in Europe and the States. Waters looks at who's ahead and how culture helps define the solutions.
No industry consensus on op risk spending for 2004
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Source: Operational Risk & Regulation
Spending on operational risk management software looks set to grow in 2004 compared with last year, but will not reach its peak for another year or two.
Trema survey highlights poor operational risk controls
Published online only
Source: Operational Risk & Regulation
Trema, the Sophia Antipolis-based provider of asset management technology, has released the results of its Asset Management STP Survey conducted between June and August this year.
What price regulatory compliance?
Published online only
Source: Operational Risk & Regulation
The US banking industry has been inundated with a set of mandatory changes such as Basel II, the Sarbanes-Oxley Act and the Patriot Act, which, responded to individually, represent a significant portion of an organisation's change budget. Dai Bedford,...
Solving The Identity Crisis
Published online only
Source: Operational Risk & Regulation
Prudential Financial's homegrown Customer Identification Program solution answers the question behind the USA Patriot Act's Rule 326: Do you really know your customer?
Patriot Act Point of Pain: Reference Data
Published online only
Source: Operational Risk & Regulation
The financial industry is expected to spend more than $10 billion to comply with the Patriot Act over the next three years. And at the heart of the issue is the data.
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