assignment代写-银行面临的合规问题

16 1月 assignment代写-银行面临的合规问题

本文讲的是银行面临的合规问题,银行正面临着合规预期的扩大,这将合规项目推到了悬崖边上(普华永道,2013)。合规的范围和性质已经发生了变化,不再局限于基于规则的银行监管。操作和法规遵循风险变得更加复杂和相互交织,增加了导致客户困惑和法规遵循控制故障的失败过程的可能性。如果没有新的合规和操作风险管理方法,许多银行将继续面临高昂的成本和损失,包括不断升级的诉讼、处罚和人员需求。这个理论帮助我理解了银行的运营和CRM系统之间的关系。本篇assignment代写文章由美国论文人EducationRen教育网整理,供大家参考阅读。

Banks are facing expanding compliance expectations that are pushing compliance programs to the brink (PWC, 2013). The scope and nature of compliance have evolved and it is no longer limited to rules-based banking regulations. Operational and compliance risks have become more complex and entwined, increasing the potential for failed processes that cause customer confusion and compliance control breakdowns. Without a new approach to compliance and operational risk management, many banks will continue to face high costs and losses in the form of escalating litigation, penalties, and staffing needs. This theory helps me comprehend the relationship between the bank’s operation and CRM system.
Because the arrays of potential compliance risks faced by an organization are typically very complex, any robust assessment should employ both a framework and methodology. The framework lays out the organization’s compliance risk landscape and organizes it into risk domains, while the methodology contemplates both objective and subjective ways to assess those risks (Deloitte , 2015).
The framework needs to be comprehensive, dynamic, and customizable, allowing the organization to identify and assess the categories of compliance risk to which it may be exposed (see Figure 2). Some compliance risks are specific to an industry or organization—for example, worker safety regulations for manufacturers or rules governing the behaviour of sales representatives in the pharmaceutical industry. Other compliance risks transcend industries or geographies, such as conflicts of interest, harassment, privacy, and document retention(Deloitte , 2015).

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