Transcription of Compliance Audit: Evaluating and Balancing …
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Compliance Audit: Evaluating and Balancing …
Compliance audit : Evaluating and Balancing Country Risk and Regulatory Risk August 2013 Lisa Bowyer, CAMS 2 CONT ENT S Introduction .. 3 Regulatory Risk .. 4 Country Risk .. 5 Obstacles to assessment and evaluation of Country Risk .. 6 HSBC Case 2012 .. 6 Habib bank Case 2012 .. 7 Good regulatory practice .. 7 Auditing the Risk assessment .. 9 Frequency and scope .. 9 Evaluating the Country Risk Assessment .. 9 Assess the Application of the Risk Assessment .. 10 Solutions .. 10 Basel AML Index .. 10 Conclusion .. 11 3 INT RODUCT IO N An initial and on-going risk assessment is the foundation of any Compliance system regardless of its scope and the starting point for an audit of a Compliance system should be to review and evaluate the risk assessment.
3 INTRODUCTION An initial and on-going risk assessment is the foundation of any compliance system regardless of its scope and the starting point for an audit of a compliance system should be to review and evaluate
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