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  • Search: subject:"Compliance function"
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Year of publication
Subject
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compliance function 66 money laundering 59 internal controls 58 reporting requirements 56 international standards 55 due diligence 54 risk management 54 supervisory authorities 53 terrorist financing 52 exchange information 50 internal audit 50 supervisory authority 49 suspicious transactions 49 regulatory requirements 48 share information 48 audit function 47 information exchange 47 prudential supervision 47 enforcement powers 46 good faith 44 accounting standards 43 competent authorities 43 risk profile 43 adequate powers 42 financial intelligence unit 42 customer identification 41 foreign branches 41 life insurance 40 Reports on the Observance of Standards and Codes 39 banking supervision 39 beneficial owners 39 legal entities 39 licensing process 39 regulatory authorities 39 supervisory framework 39 law enforcement 38 market participants 38 risk management systems 38 foreign counterparts 37 internal procedures 37
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Online availability
All
Free 68 Undetermined 6 CC license 1
Type of publication
All
Book / Working Paper 66 Article 9
Type of publication (narrower categories)
All
Working Paper 3 Article in journal 2 Aufsatz in Zeitschrift 2 research-article 2 review-article 2 Arbeitspapier 1 Article 1 Graue Literatur 1 Non-commercial literature 1
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Language
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Undetermined 63 English 10 German 2
Author
All
Apreda, Rodolfo 2 Barth, Martin 2 Birindelli, Giuliana 2 Ferretti, Paola 2 Gabbi, Giampaolo 2 Herstein, Alina 2 Holter Antonsen, Helena 2 Madsen, Dag Øivind 2 Previati, Daniele 2 Schwizer, Paola 2 David, Sandor 1 Edwards, Jonathan 1 Kovács, Levente 1 Musile Tanzi, Paola 1 Prorokowski, Hubert 1 Prorokowski, Lukasz 1 Tanzi, Paola Musile 1 Wolfe, Simon 1
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Institution
All
International Monetary Fund 62 International Monetary Fund (IMF) 62 Universidad del CEMA 1
Published in...
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IMF Staff Country Reports 61 Journal of Financial Regulation and Compliance 5 Administrative Sciences 1 Administrative Sciences : open access journal 1 CEMA Working Papers: Serie Documentos de Trabajo. 1 IMF Working Papers 1 IU Discussion Papers - Business & Management 1 IU discussion papers - Business & Management 1 Journal of Money Laundering Control 1 Serie Documentos de Trabajo 1 The journal of investment compliance 1
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Source
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RePEc 65 Other ZBW resources 4 ECONIS (ZBW) 3 EconStor 3
Showing 1 - 10 of 75
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Compliance neu gedacht: Wie ein hybrides Organisationsmodell Regulatorik und Flexibilität vereint
Herstein, Alina; Barth, Martin - 2025
Zielsetzung: Geopolitische Unsicherheiten, technologische Entwicklungen und strukturelle Umbrüche erhöhen den Anpassungsdruck auf Finanzinstitute. Gleichzeitig nimmt die regulatorische Komplexität kontinuierlich zu, wodurch traditionelle Organisationsstrukturen und Arbeitsweisen an ihre...
Persistent link: https://www.econbiz.de/10015562028
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Developing a maturity model for the compliance function of investment firms : a preliminary case study from norway
Holter Antonsen, Helena; Madsen, Dag Øivind - In: Administrative Sciences : open access journal 11 (2021) 4, pp. 1-34
This paper develops a model for the assessment of the maturity of the compliance function of investment firms. The … model indicates a path of evolution wherein the compliance function matures from being reactive and inconsistent to becoming … effectiveness of the compliance function can be evaluated using a maturity model. When it was used in the assessment of the …
Persistent link: https://www.econbiz.de/10012793703
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Cover Image
Compliance neu gedacht : wie ein hybrides Organisationsmodell Regulatorik und Flexibilität vereint
Herstein, Alina; Barth, Martin - 2025
Zielsetzung: Geopolitische Unsicherheiten, technologische Entwicklungen und strukturelle Umbrüche erhöhen den Anpassungsdruck auf Finanzinstitute. Gleichzeitig nimmt die regulatorische Komplexität kontinuierlich zu, wodurch traditionelle Organisationsstrukturen und Arbeitsweisen an ihre...
Persistent link: https://www.econbiz.de/10015557234
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Cover Image
Developing a maturity model for the compliance function of investment firms: A preliminary case study from norway
Holter Antonsen, Helena; Madsen, Dag Øivind - In: Administrative Sciences 11 (2021) 4, pp. 1-34
This paper develops a model for the assessment of the maturity of the compliance function of investment firms. The … model indicates a path of evolution wherein the compliance function matures from being reactive and inconsistent to becoming … effectiveness of the compliance function can be evaluated using a maturity model. When it was used in the assessment of the …
Persistent link: https://www.econbiz.de/10014332906
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Organisation of compliance across financial institutions
Prorokowski, Lukasz; Prorokowski, Hubert - In: The journal of investment compliance 15 (2014) 1, pp. 65-76
Persistent link: https://www.econbiz.de/10010366722
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Belgium; Technical Note on Securities Markets Regulation and Supervision
International Monetary Fund (IMF); International … - 2013
The Belgian securities market and financial services markets have remained subdued since the crisis, and significant changes have taken place in regulatory architecture in response. The execution requires both the resources and the same strong focus on driving key outcomes. Concerns also remain...
Persistent link: https://www.econbiz.de/10011243464
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Italy; Report on the Observance of Standards and Codes
International Monetary Fund (IMF); International … - 2013
This Report on Observance of Standards and Codes (ROSC) for Italy summarizes the findings and recommendations of the fiscal assessment of Italy’s economic policies. It highlights that while raising the bar for banking supervision, the Core Principles must be capable of application to a...
Persistent link: https://www.econbiz.de/10011244650
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France; Financial Sector Assessment Program—Detailed Assessment of Observance of IOSCO Objectives and Principles of Securities Regulation
International Monetary Fund (IMF); International … - 2013
This paper discusses key findings of the Detailed Assessment of Observance of International Organization of Securities Commissions (IOSCO) Objectives and Principles of Securities Regulation for France. The assessment reveals that France exhibits a high level of implementation of the IOSCO...
Persistent link: https://www.econbiz.de/10011245078
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Italy: Detailed Assessment of Observance of IOSCO Objectives and Principles of Securities Regulation
International Monetary Fund (IMF); International … - 2013
This paper discusses main findings of the Detailed Assessment of Observance of International Organization of Securities Commissions (IOSCO) Objectives and Principles of Securities Regulation in Italy. Italy exhibits a high level of implementation of the IOSCO principles. Overall the legal and...
Persistent link: https://www.econbiz.de/10011245666
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Israel; Detailed Assessment of Observance of Basel Core Principles for Effective Banking Supervision
International Monetary Fund (IMF); International … - 2012
A detailed assessment of Israel’s compliance with the Basel Core Principles for effective banking supervision is presented. The Bachar reform that has been started in mid-2005 forced banks to divest most noncommercial banking activities, such as mutual funds, insurance, pension, and...
Persistent link: https://www.econbiz.de/10011243258
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