When Risks Collide

Operational-risk projects like Sarbanes-Oxley and Basel II compliance have more in common than many firms realize. Waters asks industry participants: Does it make sense to combine op-risk efforts?

When it comes to operational risk compliance, almost all major investment firms are tackling Sarbanes-Oxley and Basel II simultaneously. As efforts to comply with these regulations get under way, firms are realizing that in some cases, they are using the same resources and even the same team members to tackle each one. To examine this collision of Sarbox and Basel II, Waters hosted a breakfast briefing earlier this year, which was sponsored by consultancy BearingPoint. The panel consisted of

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