The clear majority of surveillance leaders at 20 of the world’s leading financial institutions expect the mandate of the front office controls function to continue to expand. That’s one of the findings taken from the largest and most comprehensive surveys of front office controls organizations, conducted by 1LoD and co-sponsored by Digital Reasoning
The full report will be published in mid-July. However, we’re delighted to be able to share a preview with those receiving the content that forms part of our Wisdom & Wine series. Click below to view the results to the first of 30 questions covered the survey, with commentary provided by 1LoD.
More than a decade after the financial crisis and the scandals that followed, compliance and front office control functions remain as dynamic as ever. Approaches to surveillance continue to evolve as regulators push the envelope. Investments in people and technology are driving change in how conduct risk is assessed and mitigated, and creating opportunities for compliance and control functions to generate value.
Digital Reasoning works with many of the world’s leading financial institutions, applying our technology to help them evolve their surveillance strategies and processes. This microsite brings together the content, recorded interactive sessions, and reports from our peer group events. We hope you’ll find this ever-growing library of insights to be useful as you explore the challenges of your role and debate the solutions.
Available and upcoming content includes:
- Articles by Dr. Roger Miles, a leading expert and advisor to financial regulators and institutions about the analysis and reporting of behavioral risk
- Articles by Danielle Tierney, a Senior Analyst at Aite Group and one of the foremost experts on market surveillance
- Exclusive access to the 1LoD Annual Report and Benchmark Survey, offering the most comprehensive insights ever published into the state of front-office controls, supervision and surveillance
- Early access to an Aite Group white paper exploring the evolution of compliance, controls and surveillance technology in response to regulatory focus on conduct risk
- Live webinar and online peer group interactions enabling you to connect with experts and fellow practitioners about pressing surveillance challenges.