渣打银行制裁合规管理框架精选.pptVIP

* Ongoing Assurance * Ongoing Assurance * * Can be started after US BR4 implementation has reached stability Countries have been paired based on source systems similarity Reduce testing effort Maximizes efficiencies * * * * * * * Note : Source August 2006 Celent, the international financial services analyst group report. Independent Evaluation * * Country Categories A B C D Characteristics: Business Size – current future, product risk Financial Crime Risk Profile Regulatory requirements /expectations Large Significant Demanding Small Varied Demanding Varied Varied Low/None Very