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In our Knowledge Hub you can find lots of insightful reports, covering a variety of challenges and topics of interest for the 3 lines of defence. You can browse through all the content or select a filter to see specific topics within the Knowledge Hub.
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To meet even the minimum standards, risk and control functions require clean, accurate trade data across all the regulated markets so they can monitor market abuse, and transaction and customer data f ... -
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Proactive communications training that mitigates risk and cuts the review time for e-comms. Surveillance teams receive a daily deluge of alerts which must be reviewed in case further investigation is ... -
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Banks are struggling to stay ahead of change, even with the 3 lines of defence model and sophisticated layers of checking, monitoring, assurance and challenge. That was the main message from one of th ... -
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Banks see significant scope for improving their trade surveillance processes against the backdrop of stricter regulation. Risk-based approaches are maturing, so transparent risk metrics and tolerances ... -
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Banks, their customers, and the fraudsters that prey on them went digital long before the pandemic provided an additional incentive. This cyber-enabled industrialisation of fraud requires a digital re ... -
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1LoD brought together leaders from all 3 lines of defence in March to consider the knotty problem of collaboration – in particular, whether regulation, data, organisation and independence get in the w ... -
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Recent US enforcement actions have highlighted the difficulties banks face in surveilling the communications channels and asset classes regulators demand. The fines reveal failings across the surveill ... -
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Much has changed in the financial services industry over the decades, from products and technology to conduct and culture. The bad behaviour of the 1980s – as depicted in Liar’s Poker, The Bonfire of ... -
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The traditional know your customer, or KYC, process is changing. The core customer due diligence (CDD) and enhanced due diligence (EDD) processes will need to provide a more continuous, risk-based rev ... -
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Some banks run surveillance from the 1st line, but for most banks it’s a 2nd line function – and for many, the distinction is not important. What they are struggling with is the traditional basket of ... -
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The need for next-generation voice surveillance programmes is becoming ever more urgent. A recent, significant enforcement against J.P. Morgan Securities and a more transparent regulatory stance have ... -
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1LoD gathered professionals from across North America in March for a virtual deep dive into the current state of play in energy trading surveillance. With senior representation from the regulators, pr ...