Regulatory Compliance Journal
The Enterprise-Wide Risk Assessment (EWRA) or Overall Risk Assessment has become a regulatory obligation from an EU and ...
- 11 min read
In an era where technology evolves at a rapid pace, criminals are quick to adapt, developing increasingly sophisticated ...
- 9 min read
In recent years, regulators have begun to scrutinize more closely financial institutions regarding the soundness of thei...
- 8 min read
An audit trail (also called audit log) is a relevant chronological recording of actions, a set of files, or the destinat...
- 3 min read
The understanding and management of risk by financial institutions, banks, and entities, has improved over the years. To...
- 10 min read
5 articles matching audit tag
How the EU’s DSA and DMA are redefining digital platform regulations
The Big Four of technology—Google, Amazon, Facebook, and Apple—have become integral to our daily lives, influencing everything from simple online searches to the handling of our personal data. With their growing dominance and impact, these internet giants wield a level of power that has pl...
- 8 min read
SEPA Instant Payments : understanding the requirements and deadlines of regulation 2024/886
The silent payments revolution is finally upon us. With the first compliance date of Regulation 2024/886 set for January 09, 2025, instant payments are set to become an integrated part of day-to-day banking. The Instant payment regulation (IPR) was voted on 13/03/24 and was effective by 08/04...
- 6 min read
How are gatekeepers used for money laundering?
In the world of finance, gatekeepers such as accountants, and lawyers are meant to safeguard against financial crime. Yet, these very players can sometimes become unwitting—or even complicit—partners in money laundering schemes. The expertise that makes these professionals indispensable to ...
- 9 min read
How to improve compliance culture?
A strong compliance culture helps to establish the foundation for a lasting positive impact for a company, its employees, and its clients by achieving ethical practices, clear values, and the respect of local and international legislation. Despite its benefits and legal necessity, most companie...
- 7 min read
How to set up a conflict of interest program
Imagine a situation in which the integrity of your organisation is corrupted by personal gain – how would you respond? In the field of business ethics, a strong conflict of interest program is the cornerstone that keeps an organization's reputation intact. With it, transparency isn't ju...
- 10 min read
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How the EU’s DSA and DMA are redefining digital platform regulations
Consultant, Financial Institutions, DSA, DMA, Digital Service Act, Digital Market Act regulations, gatekeeper, Freedom of information, European Commission, Digital, Consumer security, Google,The Big Four of technology—Google, Amazon, Facebook, and Apple—have become integral to our daily lives, influencing everything from simple online searches to the handling of our personal data. With their growing dominance and impact, these inter...
The hidden costs of golden visas
AML, KYC, Europe, Monitoring, Privacy, Reporting, Investment, 5AMLD, Russia, Transparency, Financial Sanctions, Due Diligence, Corruption, Financial Institutions,Over the past years, the golden visa has seen a surge in participation in its programmes. But along with its rising popularity, corruption and AML risks have also seeped into its core. Many argue that citizenship is a public good, not a commodity for...
Intro to DLU4: Foreign accounts and Fiscal Regularisation
Reporting, Tax Havens, Belgium, Consultant, Ethics, EU, Compliance expert,What is DLU and how has it evolved through the years?DLU stands for "Déclaration Libératoire Unique", which is a Single Discharge Declaration. By introducing the DLU concept, the scope of the Belgian tax authority was to give a chance, to people w...