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Compliance Regulations and Guidance Affecting your Industry
Get trained on regulations affecting your industry through online webinars, learn the best practices, and download quality standards, checklists and news articles. Listen to experts on best practices to streamline quality and compliance processes and meet the regulatory demands.Categories
Compliance Trainings
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Employee Expense Reimbursement Fraud: Detection, Prevention and Deterrence
By - Peter Goldmann
On Demand Access Anytime
By - Peter Goldmann
On Demand Access Anytime
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Credit card surcharging - who is going to do it and what are the stipulations for compliance?
By - Ray Graber
On Demand Access Anytime
By - Ray Graber
On Demand Access Anytime
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Managing AML/KYC Compliance Risk - CDD/EDD, Transaction Monitoring and More
By - Doug Keipper
On Demand Access Anytime
By - Doug Keipper
On Demand Access Anytime
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The Australian AML/CTF Act - Preparing for an Independent Review
By - David Harley
On Demand Access Anytime
By - David Harley
On Demand Access Anytime
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Hong Kong Banking Capital Amendment Rules 2012
- Industry: Banking and Financial Services
Banking capital amendment regulations of Hong Kong, 2012.
Australia Prudential Standard CPS 510 Governance
- Industry: Banking and Financial Services
This Prudential Standard sets out minimum foundations for good governance of a regulated institution in the deposit-taking, general insurance and life insurance industries. Its objective is to ensure that a regulated institution is managed soundly and prudently by a competent Board (or equivalent), which can make reasonable and impartial business judgements in the best interests of the institution and which duly considers the impact of its decisions on depositors and/or policyholders.
Australia Prudential Standard APS 114 Capital Adequacy: Standardised Approach to Operational Ri ....
- Industry: Banking and Financial Services
This Prudential Standard requires an authorised deposit-taking institution using the standardised approach to operational risk to hold sufficient regulatory capital against those exposures.
Australia Prudential Standard APS 113 Capital Adequacy: Internal Ratings-based Approach to Cred ....
- Industry: Banking and Financial Services
This Prudential Standard sets out the requirements that an authorised deposit-taking institution that has approval to use an internal ratings-based approach to credit risk must meet both at the time of initial implementation and on an ongoing basis for regulatory capital purposes.
Australia Prudential Standard APS 112 Capital Adequacy: Standardised Approach to Credit Risk
- Industry: Banking and Financial Services
This Prudential Standard requires an authorised deposit-taking institution to hold sufficient regulatory capital against credit risk exposures.
Australia Prudential Standard APS 111 Capital Adequacy: Measurement of Capital
- Industry: Banking and Financial Services
This Prudential Standard sets out the characteristics that an instrument must have to qualify as regulatory capital for an authorised deposit-taking institution (ADI) and the various regulatory adjustments to be made to determine total regulatory capital on both a Level 1 and Level 2 basis.
Australia Prudential Standard GPS 110 Capital Adequacy
- Industry: Banking and Financial Services
This Prudential Standard requires a general insurer or Level 2 insurance group to maintain adequate capital against the risks associated with its activities.
South Australia Environment Protection Regulations 2009
- Industry: Banking and Financial Services
Environmental Protection Regulations enacted in South Australia in 2009.
Australia Prudential Standard APS 240 - Risk Management of Credit Card Activities
- Industry: Banking and Financial Services
This standard aims to ensure that ADIs implement proper measures to monitor and control the risks associated with their credit card activities.
Australia Prudential Standard CPS 232 Business Continuity Management
- Industry: Banking and Financial Services
This Prudential Standard requires each regulated institution and Level 2 group to implement a whole-of-business approach to business continuity management that is appropriate to the nature and scale of its operations. Business continuity management increases resilience to business disruption arising from internal and external events and may reduce the impact on the regulated institution’s or group’s business operations, reputation, profitability, depositors, policyholders and other stakeholders.
Australia Prudential Standard APS 120 Securitisation
- Industry: Banking and Financial Services
This Australian Prudential Standard requires authorised deposit-taking institutions to adopt prudent practices in managing the risks associated with securitisation and to ensure that sufficient regulatory capital is held against the associated credit risk.
Australia Prudential Standard APS 117 Capital Adequacy: Interest Rate Risk in the Banking Book ....
- Industry: Banking and Financial Services
This Prudential Standard sets out the requirements that an authorised deposit-taking institution with approval to use an internal model for interest rate risk in the banking book must meet for regulatory capital purposes, both at the time of initial implementation and on an ongoing basis.
Australia Prudential Standard APS 116 Capital Adequacy: Market Risk
- Industry: Banking and Financial Services
This Australian Prudential Standard requires an authorised deposit-taking institution engaging in activities that give rise to risks associated with potential movements in market prices to adopt risk management practices and hold regulatory capital that is commensurate with the risks involved.
Australia Prudential Standard 330 Capital Adequacy: Public Disclosure of Prudential Information
- Industry: Banking and Financial Services
This Prudential Standard requires locally incorporated authorised deposit-taking institutions to meet minimum requirements for the public disclosure of information on their risk management practices and capital adequacy to enhance transparency in Australian financial markets.
Monetary Authority of Singapore Risk Management Guidelines on Credit Risk
- Industry: Banking and Financial Services
The Monetary Authority of Singapore (MAS) released these risk management guidelines to provide guidance on best practices to follow with respect to credit risk. Financial institutions can utilize these guidelines for credit extension but banks may apply them to both trading and banking books.
Monetary Authority of Singapore Risk Management Guidelines on Market Risk
- Industry: Banking and Financial Services
The Monetary Authority of Singapore (MAS) published these Risk Management Guidelines on Market Risk in February 2006. They are aimed at helping financial institutions better cope with the risks inherent in market exposure.
Hong Kong Corporate Governance Code
- Industry: Banking and Financial Services
The Hong Kong Corporate Governance code was published by the Stock Exchange of Hong Kong. The code was revised in 2012.
New Zealand Corporate Governance Principles and Guidelines
- Industry: Banking and Financial Services
The New Zealand Securities Commission published “Corporate Governance in New Zealand Principles and Guidelines” in February 2004. The aim of these principles is to make sure that companies in the country are run in an ethical and compliant manner.
Monetary Authority of Singapore Risk Management Practices Guidelines – Internal Controls
- Industry: Banking and Financial Services
The Monetary Authority of Singapore’s Risk Management Practices Guidelines dealing with internal controls makes it clear that a financial institution’s Board and senior management must establish processes, policies and procedures ensure its compliance with regulatory requirements. These policies and processes should also make sure that the institution’s operations are effective and compliant.
Proposed European Commission Anti-Money Laundering Regulation - Fund Transfer Information
- Industry: Banking and Financial Services
A proposed European Commission regulation and anti-money laundering measure that requires information accompanying transfers of funds to secure "due traceability" of these transfers.
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