Understanding Risk Management and Compliance, What Is Different After Monday, April 7, 2014 [NOOK Book]

Overview

Stephen Hawking has said: "My expectations were reduced to zero when I was 21. Everything since then has been a bonus"

Supervisors usually say quite the opposite.

In Number 1 below, we have a document full with supervisory expectations and recommendations.

"This document includes supervisory expectations and recommendations relevant to external audits of banks that the ...

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Understanding Risk Management and Compliance, What Is Different After Monday, April 7, 2014

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Overview

Stephen Hawking has said: "My expectations were reduced to zero when I was 21. Everything since then has been a bonus"

Supervisors usually say quite the opposite.

In Number 1 below, we have a document full with supervisory expectations and recommendations.

"This document includes supervisory expectations and recommendations relevant to external audits of banks that the Committee believes will enhance the quality of these audits.

The Committee does not have the authority to set professional standards for external auditors.

However, as internationally accepted professional standards for external auditors are principles-based, the Committee expects the proper application of the standards to audits of banks to include appropriate tailoring of audit work in response to the risks and issues applicable to banks."

According to Confucius, the expectations of life depend upon diligence; the mechanic that would perfect his work must first sharpen his tools.

Read more at Number 1 below.

This week we also have a very interesting letter.

The Governor of the Bank of England, Dr Mark Carney, has responded to a letter from the Chancellor of the Exchequer.

This is a very polite letter.

Read how it starts, and how it proceeds to: "I would also like to pick up on three points highlighted in your letter."
"Dear Chancellor

In my role as Chairman of the Financial Policy Committee (FPC), I attach the FPC's formal response to the remit and recommendations that you set out in your letter and attachment of 19 March.

I am grateful for your positive assessment of the performance of the FPC in its first year as a statutory body.

I particularly welcome your recognition that, consistent with the recommendations in your 2013 remit, the Committee has increased the focus of its work programme and brought greater clarity to its communications.

I agree that an important priority for the Committee is to further increase public awareness and understanding of the FPC.

The FPC welcomes your remit and recommendations for the coming year and intends to act in accordance with them.

I would also like to pick up on three points highlighted in your letter.
Read more at Number 5 below.

Welcome to the Top 10 list.

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Product Details

Meet the Author

George Lekatis is the General Manager of Compliance LLC, a leading provider of risk and compliance training and executive coaching in 36 countries.George has more than 17,000 hours experience as a professional speaker and seminar leader. He has worked for more than 18 years as a management consultant and educator and has demonstrated exceptional presentation and communication skills.George is the president of the Basel ii Compliance Professionals Association (BCPA, basel-ii-association.com), the largest association of Basel ii professionals in the world, and the Basel iii Compliance Professionals Association (BiiiCPA, basel-iii-association.com), the largest association of Basel iii professionals in the world.George is also president of the Sarbanes Oxley Compliance Professionals Association (SOXCPA, sarbanes-oxley-association.com), the largest Association of Sarbanes Oxley professionals in the worldGeorge is an expert witness, qualified to investigate and testify about risk and compliance management standards, policies, procedures, best practices, due care and due diligence.
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