Financial Services Briefing - Issue 3, 2013

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Click here for our insights on Anti-Money Laundering

Focus on Anti-Money Laundering

EY - Meta-alerting
(Sep 2013, United States)

Meta-alerting: the new way forward for AML transaction monitoring

Transaction monitoring is a key component of an anti-money laundering (AML) program. The process identifies transactions or patterns of transactions that may require investigation.

EY - Understanding sanctions
(Sep 2013, United States)

Understanding sanctions: wire stripping - managing compliance risk

Wire stripping involves changing or removing information from wire payments or instructions, thereby making it difficult to identify and restrict payments involving sanctioned parties.

EY - Understanding sanctions
(Sep 2013, United States)

Understanding sanctions: how to identify risk factors

How can institutions keep up and identify all of the relevant risk factors that create exposure to sanctions?


Click here for our insights on Information Security

Focus on Information Security

EY - Global Information Security Survey 2013
(Oct 2013, Global)

Global Information Security Survey 2013

As the pace of technology evolution accelerates, so do cyber risks. Find out how organizations are addressing current threats - and those on the horizon.

EY - Bring your own device
(Sep 2013, Global)

Bring your own device: security and risk in mobile device programs

Employers need to control the use of personal mobile devices for conducting work. BYOD policies help improve productivity, enable new business and satisfy employees' needs.

EY - Understanding sanctions
(Jul 2013, Global)

Protecting your data: EY's approach to security

EY views data privacy and information security as fundamental components of doing business. Read about how your protection is our priority.

EY - Bank Governance Leadership Network(Sep 2013, Global)

Bank Governance Leadership Network - ViewPoints: Enabling more effective risk appetite frameworks

Banks need to move risk appetite plans from high-level statements to practical application. Learn the key attributes of an effective risk appetite framework.

See also our Regulation section for more on risk appetite

EY - Remaking financial services(Jul 2013, Global)

Remaking financial services: risk management five years after the crisis

With risk management practices improving since the financial crisis, our survey reveals how executives are renewing their focus on instilling a risk culture.

EY - Risk management for asset management(Sep 2013, EMEIA)

Risk management for asset management - EY EMEIA survey 2013

Our survey assesses the challenges facing the industry's risk management professionals today, and explores future development of the risk function.

EY - Managing conflicts of interest in the alternative investment industry(Oct 2013, United States)

Managing conflicts of interest in the alternative investment industry

Small and midsize firms now face the same scrutiny from regulators as large institutions. Learn about the conflicts that can arise and effective mitigation policies.

EY - Risk management continues to challenge insurers(Oct 2013, Global)

Video - Risk management continues to challenge insurers

Shaun Crawford, our Global Insurance Leader, discusses the five core risk issues facing the insurance industry today.

EY - Insurance Governance Leadership Network(Jul 2013, Global)

Insurance Governance Leadership Network - Viewpoints: Exploring the risk environment: regulatory, macroeconomic and other top risks

This ViewPoints covers the range of topics discussed, including: systemic importance in insurance, cross-border supervision, improving risk identification, top and emerging risks, and the impact of low interest rates.

EY - Matching Internal Audit talent to organizational needs(Jul 2013, Global)

Matching Internal Audit talent to organizational needs - Key findings from the Global Internal Audit Survey 2013

Corporate leaders are demanding that IA improve visibility, become strategic advisors and deliver lasting value. Our 2013 Global Internal Audit survey explains this shifting mandate.