Transcription of A RISK-BASED FRAMEWORK FOR ASSESSING A …
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A RISK-BASED FRAMEWORK FOR ASSESSING A …
A RISK-BASED FRAMEWORK FOR ASSESSING A compliance CULTURE By: Francisco Daniel Zepeda L zarus, PhD, MBA, CAMS, CFE, AML-CA CAMS-AUDIT Advanced Certification White Paper August, 2015 A RISK-BASED FRAMEWORK for ASSESSING a compliance Culture TABLE OF CONTENTS I. EXECUTIVE SUMMARY 1 II. INTRODUCTION 1 III. UNDERSTANDING A compliance CULTURE 2 A. Defining a compliance Culture 2 B. Promoting a compliance Culture 5 C. Similarities with Risk Culture 6 D. Organizational Dynamics that Shape a compliance Culture 8 E. ASSESSING a compliance Culture, is it important?
A RISK-BASED FRAMEWORK FOR ASSESSING A COMPLIANCE CULTURE By: Francisco Daniel Zepeda Lázarus, PhD, MBA, CAMS, CFE, AML-CA CAMS-AUDIT Advanced Certification White Paper
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