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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
more ... less ...
Online availability
All
Free 66 CC license 1
Type of publication
All
Book / Working Paper 64 Article 2
Type of publication (narrower categories)
All
Article 1 Article in journal 1 Aufsatz in Zeitschrift 1 Working Paper 1
Language
All
Undetermined 61 English 5
Author
All
Apreda, Rodolfo 2 Holter Antonsen, Helena 2 Madsen, Dag Øivind 2
Institution
All
International Monetary Fund 62 International Monetary Fund (IMF) 62 Universidad del CEMA 1
Published in...
All
IMF Staff Country Reports 61 Administrative Sciences 1 Administrative Sciences : open access journal 1 CEMA Working Papers: Serie Documentos de Trabajo. 1 IMF Working Papers 1 Serie Documentos de Trabajo 1
Source
All
RePEc 63 EconStor 2 ECONIS (ZBW) 1
Showing 1 - 10 of 66
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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 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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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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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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Spain; IAIS Insurance Core Principles: Detailed Assessment of Observance
International Monetary Fund (IMF); International … - 2012
This paper provides an update on the significant regulatory and supervisory development in the Spanish insurance sector since 2006. The Spanish authorities have taken steps to address a number of shortcomings identified in the 2006 Financial Sector Assessment Program. Most notably, cooperation...
Persistent link: https://www.econbiz.de/10011243830
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Spain; Basel Core Principles for Effective Banking Supervision: Detailed Assessment of Compliance Report
International Monetary Fund (IMF); International … - 2012
This paper assesses compliance of the Basel Core Principles for Effective Banking Supervision in Spain. Significant changes have occurred in Spain since the last Financial Sector Assessment Program (FSAP). The most serious has been the deterioration of the economy and the real estate sector. The...
Persistent link: https://www.econbiz.de/10011244093
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Spain; Report on the Observance of Standards and Codes: Summary Assessments
International Monetary Fund (IMF); International … - 2012
This paper presents assessment results for the current state of the implementation of the Basel Core Principles for Effective Banking Supervision (BCP) in Spain. It found that significant changes have occurred in Spain since the last Financial Sector Assessment Program. The most serious has been...
Persistent link: https://www.econbiz.de/10011244598
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