We decided to apply the thinking behind the concept to our compliance function. We instigated a process mapping exercise which follows client files from the client's first point of contact with the ...

This blog is about the strategic importance of Target Operating Models (ToMs) in regulatory compliance and change transformation.

The compliance and legal functions have been segmented with Deb Tobin stepping up to chief compliance officer, having been senior compliance officer for two years. She will continue to report to ...

This directive comes as a review of the aforementioned function showed that automation of the compliance monitoring process in REs remains a work in progress with various aspects of this function ...