Harmonizing the Compliance Effort
- Tags:
- Compliance,
- Security,
- Risk Management,
- Management,
- Financial Services Company,
- Financial Services,
- Financial Service,
- Financial Planning,
- Financial,
- Finance,
- ...
- Source:
- Ernst & Young
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Overview: Financial services companies face an ever-increasing barrage of proposed new regulations and guidance, and rising stakeholder expectations for risk management, controls, and compliance. The rules and guidance that have emerged have somewhat different objectives, the data, risk management and control processes, and governance structures they address have much in common. This confluence suggests that financial services companies should be able to leverage the various initiatives to gain efficiencies and avoid further problems down the road. This article converses how financial institutions have much to gain from leveraging the multiple regulatory initiatives relating to risk management and control processes.
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Format: PDF | Size: 837KB | Date: Oct 2004 | Pages: 7
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