'Compliance risk' diaporamas de présentation

ECM Grand Slam: Using Process Optimization, Compliance, and Risk Reduction to Achieve Organizational Transformation

873 views • 59 slides

ECM Grand Slam: Using Process Optimization, Compliance, and Risk Reduction to Achieve Organizational Transformation

659 views • 59 slides

GAMP - Process Control SIG

GAMP - Process Control SIG. GAMP 4 + Beyond Tony de Claire. GAMP - Process Control SIG. SIG Background Evolved from impromptu lunchtime meeting at the launch of initial GAMP (PICSVF) draft release in Westminster

775 views • 45 slides

Compliance with the Financial Advisory & Intermediary Services Act

Compliance with the Financial Advisory & Intermediary Services Act. Presented by FAIS Department of the Financial Services Board and Compliance Institute of South Africa. Compliance risk management. Presented by the Compliance Institute of South Africa. Supervision of FSPs.

787 views • 42 slides

Chapter Six

Chapter Six. Measuring and Evaluating the Performance of Banks and Their Principal Competitors. Key Topics. Stock Values and Profitability Ratios Measuring Credit, Liquidity, and Other Risks Measuring Operating Efficiency Performance of Competing Financial Firms Size and Location Effects

670 views • 37 slides

Effective Identification and Management of Compliance Risks Peter Scott,

Effective Identification and Management of Compliance Risks Peter Scott, . Peter Scott Consulting . What is risk?. Exposure to the possibility of suffering or harm The chance of bad things happening

459 views • 35 slides

Treatment of Operational Risk by IFIs

Treatment of Operational Risk by IFIs. Mujtaba Khalid. Summary . Islamic Financial Institutions and Risk Shariah Auditing Shariah Risk Management for Common Islamic Financial Contracts. Islamic Financial Institutions and Risk. Types of Risks Faced by Financial Institutions.

683 views • 35 slides

Effective Compliance Training Program - Ways to Reduce Compl

A compliance training program is given at various levels to employees of an organization to train employees to abide by the rules and regulations as laid out by any competent authority.

425 views • 31 slides

Dr Neil Dodgson Director Risk and Compliance Solutions EMEA Financial Services

Governance, Risk & Compliance An Integrated Framework People, Processes & Platform. Dr Neil Dodgson Director Risk and Compliance Solutions EMEA Financial Services. Safe Harbor Statement.

625 views • 30 slides

Risk-Based Approaches to Regulatory Oversight and Compliance

Risk-Based Approaches to Regulatory Oversight and Compliance. David J. Horowitz, Esq. Deputy Associate Commissioner for Compliance Policy Office of Regulatory Affairs U.S. Food and Drug Administration FDA Regulatory and Compliance Symposium August 23, 2006. Overview.

813 views • 26 slides

IT Service Delivery And Support Week Eight

IT Service Delivery And Support Week Eight. IT Auditing and Cyber Security Spring 2013 Instructor: Liang Yao (MBA MS CIA CISA CISSP). Outsourcing & Vendor Management. Outsourcing Drivers Outsourced IT Works Outsourced IT Activity Samples Top Three Outsourcing Risks Outsourcing Workflow

394 views • 24 slides

Triple Point Technology

Triple Point Technology. Integrated Bulk Terminal Management . Steve Maxwell VP Coal & Mineral Supply Chain Solutions stephen.maxwell@tpt.com. Bulk Terminal O perating C hallenges . Increasing but variable seaborne market demand Productivity, asset utilization and margin pressures

321 views • 19 slides

Structural Prerequisites

The Money Transmitter Compliance Program A Quick Training for Compliance Officers Presented by: Juan Llanos , CAMS - juanbllanos@hotmail.com Alan Unangst , CAMS - aunangst@crowechizek.com Fabio Fernandez , CAMS - fabio@prontomt.com. Juan Llanos, CAMS juanbllanos@hotmail.com.

469 views • 15 slides

Silo Compliance Risk vs. Enterprise Compliance Risk

Silo Compliance Risk vs. Enterprise Compliance Risk. Presented to: ORIMS PD Day By: Joe Hardy & Tony Carlisle. Silo Compliance Risk vs. Enterprise Compliance Risk. What is Compliance? Is Compliance a risk? Identify Compliance Risk? (Case Study) Future of Enterprise Compliance Risk.

347 views • 15 slides

Indirect Cost Rate O ctober 2013

Indirect Cost Rate O ctober 2013. What is an indirect cost? What is an indirect cost rate plan? What is our current policy for the ICR? What are the problems with our current ICR policy? Contract Simplification Workgroup Who is on the Contract Simplification Workgroup? CHEAC ICR Proposal

246 views • 13 slides

DII Best Practices Forum Internal Controls Workshop June 23, 2011

DII Best Practices Forum Internal Controls Workshop June 23, 2011. Keith Rivers Director of Business Practices United Technologies Corporation. United Technologies Corporation (12/31/2010). Sikorsky. Pratt & Whitney. 6 autonomous businesses 208,000 employees Operations in 70 countries

226 views • 12 slides

Why Traditional Practices Fail

Enterprise Risk Management & IT Compliance March 30, 2010 Presented by: Ken Rowe, Director Enterprise Systems Assurance & Chief Security Officer University Office of Administrative Information Technology Services. Why Traditional Practices Fail. Traditional Security Perspective Enclave-based

197 views • 11 slides

VIRTUAL PARTNERSHIPS IN BLENDED LEARNING

VIRTUAL PARTNERSHIPS IN BLENDED LEARNING. STUDENT SUPPORT REQUIREMENTS EMBEDDING VIRTUAL KNOWLEDGE SOURCES BLENDED LEARNING FRAMEWORK FOR AUGMENTED INTELLIGENCE. COMPLIANCE RISK PROPOSITION FLAGGED: HYPOTHESIS ACTIVATED. CBR ANALYSIS OF VIRTUAL RELATIONS USING EVENTS AS DRIVERS.

168 views • 7 slides

Compliance Risk Self Assessment Model

Compliance Risk Self Assessment Model. Compliance Risk - Definition. The risk to earnings or capital arising from violations of, or nonconformance with laws, rules, regulations, prescribed practices, or ethical standards.

259 views • 7 slides

Compliance and Anti Money Laundering Seminar

306 views • 3 slides