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The science of compliance

As the November 15 deadline for SOX Section 404 nears, some banks are trying to see the bigger picture. By Dianne See Morrison

When Sarbanes-Oxley (SOX) was passed in 2002, you could almost hear technology vendors sigh with relief. In the midst of an economic downturn, here was a piece of legislation that practically guaranteed spending in the sector.

Tackling Sarbanes-Oxley with technology makes sense. The legislation, passed in 2002, following the wave of corporate scandals in America, seeks to bring more accountability

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Emerging trends in op risk

Karen Man, partner and member of the global financial institutions leadership team at Baker McKenzie, discusses emerging op risks in the wake of the Covid‑19 pandemic, a rise in cyber attacks, concerns around conduct and culture, and the complexities of…

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