Статті в журналах: "Compliance-risks"

1

Burden, Kit. "EURO COMPLIANCE RISKS." Computer Law & Security Review 18, no. 4 (July 2002): 267–68. http://dx.doi.org/10.1016/s0267-3649(02)00710-0.

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2

Johnston, Anna, and Stephen Wilson. "Privacy Compliance Risks for Facebook." IEEE Technology and Society Magazine 31, no. 2 (2012): 59–64. http://dx.doi.org/10.1109/mts.2012.2185731.

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3

Achkasova, Svіtlana, Olena Bezrodna, and Yevheniia Ohorodnia. "Identifying the volatility of compliance risks for the pension custodian banks." Banks and Bank Systems 16, no. 3 (September 22, 2021): 113–29. http://dx.doi.org/10.21511/bbs.16(3).2021.11.

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The high probability of risk transfer from banks to their counterparties in the field of non-state pension provision (pension account owners, non-state pension funds, insurance companies, asset management companies, etc.) determines the relevance of this study. The paper aims to develop a toolkit for identifying the compliance risk volatility for pension custodian banks based on causal modeling.This toolkit contributes to: 1) tentative cognitive mapping of the causal relationship between the compliance risks of pension custodian banks in the field of financial monitoring and financial and reputational risks to assess their acceptability by stakeholders in non-state pension programs, and 2) impulse modeling. The created toolkit is based on the performance data provided by Ukrainian banks, as well as on the reports of the National Bank of Ukraine. Apparently, an increase in penalty rates by 0.1% would reduce the compliance risks for banks by 0.03%, and the number of violations in financial monitoring (specifically the improper assessment/reassessment of customer risks) by 0.01%. In turn, the compliance risk volatility inherent in custodian banks affects the variability of their reputational and financial risks. Thus, reducing the compliance risks by 0.1% would improve the reputation of banks and increase their regulatory capital by 0.01%.The study findings substantiate the use of the created toolkit to supplement the risk profile components for pension custodian banks, thereby demonstrating the potential volatility of their compliance risks and their consequences for banks and individual groups of their stakeholders. AcknowledgmentThe work is prepared and financed within the framework of the state budget research work No. 45/20202021 “Formation of a risk-oriented system of accumulative pension provision” (DR No. 0120U101508).

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4

Hollander, Robert, David W. Harris, and Esteban Azagra. "USING TECHNOLOGY TO REDUCE REGULATORY COMPLIANCE RISKS." Proceedings of the Water Environment Federation 2006, no. 1 (January 1, 2006): 473–82. http://dx.doi.org/10.2175/193864706783789752.

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5

نجم, دعاء مؤيد, and بلاسم جميل خلف. "Formulate a strategy to manage tax compliance risks." مجلة دراسات محاسبية ومالية 14, no. 46 (March 1, 2019): 1–17. http://dx.doi.org/10.34093/jafs.v14i46.385.

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Анотація:

This research discussed and analyzed the formulation of a strategy to manage tax compliance risks, as an applied research in the General commission for Taxes. The questionnaire was used as a research tool to identify the factors that stimulate or retard the research sample from being compliant. The K-means clustering method was also used to enable the classification of the research sample's views into four behaviors, some of these views pose tax-compliance risks. The research concluded that risk management is a continuous process and that all departments of the General commission for Taxes are responsible for its implementation to enable them to deal with the behavior of the taxpayer towards tax compliance. And it recommended the adoption of a strategy to manage these behaviors, which represent the risk of tax compliance by the General commission of Taxes, to reach the level that achieves the highest voluntary compliance.

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6

Anderson, Scott R., James Audette, and Kate S. Poorbaugh. "MSRB publishes 2017 compliance advisory for broker-dealers." Journal of Investment Compliance 19, no. 1 (May 8, 2018): 50–52. http://dx.doi.org/10.1108/joic-02-2018-0007.

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Purpose To summarize the Municipal Securities Rulemaking Board’s 2017 Compliance Advisory for brokers, dealers and municipal securities dealers. Design/methodology/approach Summarizes several Municipal Securities Rulemaking Board (MSRB) rules that the Compliance Advisory highlights as presenting key compliance risks for brokers, dealers and municipal securities dealers. Discusses the factors included in the Compliance Advisory that dealers should consider when evaluating compliance procedures and controls. Findings By highlighting some key compliance risks and providing considerations tailored to those risks, the Compliance Advisory can be used as a tool to aid dealers in developing and assessing effective compliance programs. Practical implications Dealers should consider reviewing their firm’s existing compliance policies and procedures in light of the considerations discussed in the Compliance Advisory. Originality/value Practical guidance from experienced securities and financial services regulatory lawyers.

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7

Anderson, Scott R., and Kate S. Poorbaugh. "MSRB publishes its first compliance advisory for broker-dealers." Journal of Investment Compliance 17, no. 3 (September 5, 2016): 49–51. http://dx.doi.org/10.1108/joic-07-2016-0026.

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Purpose To summarize the Municipal Securities Rulemaking Board’s 2016 Compliance Advisory for brokers, dealers and municipal securities dealers. Design/methodology/approach Summarizes several Municipal Securities Rulemaking Board (MSRB) rules that the Compliance Advisory highlights as presenting key compliance risks for brokers, dealers and municipal securities dealers. Discusses the factors included in the Compliance Advisory that dealers should consider when evaluating compliance procedures and controls. Findings By highlighting some key compliance risks and providing considerations tailored to those risks, the Compliance Advisory can be used as a tool to aid dealers in developing and assessing effective compliance programs. Practical implications Dealers should consider reviewing their firms’ existing compliance policies and procedures in light of the considerations discussed in the Compliance Advisory. Originality/value Practical guidance from experienced securities and financial services regulatory lawyers.

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8

Kraev, A. V., and V. A. Ivanova. "Identification of Risks when Declaring Compliance of Products." Quality and life 22, no. 2 (2019): 69–73. http://dx.doi.org/10.34214/2312-5209-2019-22-2-69-73.

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9

Arnold, Diane Huberman, Keith Arnold, and Vanessa J. Arnold. "Managing Ethical Risks and Crises: Beyond Legal Compliance." Beijing Law Review 01, no. 01 (2010): 1–6. http://dx.doi.org/10.4236/blr.2010.11001.

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10

Ghirana, Ana-Maria, and Vasile Paul Bresfelean. "Compliance Requirements for Dealing with Risks and Governance." Procedia Economics and Finance 3 (2012): 752–56. http://dx.doi.org/10.1016/s2212-5671(12)00225-0.

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11

Wood, Jane Pine, Bridget Cougevan, and Jenny McGovern. "Dermatology and Pathology Arrangements: Navigating the Compliance Risks." Seminars in Cutaneous Medicine and Surgery 32, no. 4 (December 2013): 185–94. http://dx.doi.org/10.12788/j.sder.0030.

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12

Sahlroot, J. Todd, and Gordon W. Pledger. "Electronic compliance monitoring in clinical trials: Benefits and risks." Controlled Clinical Trials 12, no. 5 (October 1991): 716. http://dx.doi.org/10.1016/0197-2456(91)90327-i.

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13

Тетяна Кобєлєва. "THE ESSENCE AND DEFINITION OF COMPLIANCE RISK." Bulletin of the National Technical University "Kharkiv Polytechnic Institute" (economic sciences), no. 1 (December 28, 2021): 116–21. http://dx.doi.org/10.20998/2519-4461.2020.1.116.

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Анотація:

In the practice of an industrial enterprise, the concept of compliance is closely linked to the management / control system in the organization, as well as to the risks of non-compliance, non-compliance with the laws, regulations, rules and standards of supervisory authorities, industry associations and organizations, codes of conduct, etc.The purpose of the article is to investigate the theoretical and methodological basis of compliance risk and the possibilities of using this category in the organizational and economic activities of an industrial enterprise in order to ensure its stable and efficient operation.The concept of compliance risk with respect to industrial sphere is not enshrined in the Ukrainian legislation, but it is successfully used in banking and can be successfully adapted to the characteristics of an industrial enterprise. For industrial enterprises, it is proposed to define compliance risk as the risk of the application of legal or regulatory penalties, material financial loss, loss of market share or loss of reputation by an enterprise as a result of non-compliance with laws, regulations, rules, standards of self-regulatory organizations or external and internal codes or regulations. concerning production and business activity. The compliance function draws attention to many different aspects of compliance risks: from financial risks to reputational risks, from corruption to the code of conduct of employees, and this comprehensive approach allows for the most effective monitoring of the enterprise activity and to make informed and thoughtful decisions, create situations where the risk of compliance risk is minimal. In the article it is proved that if an enterprise plans to enter the international market, work with the compliance function is a prerequisite for development and further cooperation, since many foreign partners work exclusively with organizations that comply with international standards, including in the work with compliance risk control.

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14

Vakhorina, Marina. "Impact of the Compliance system on the Financial Performance of an Economic Entity." Scientific Research and Development. Economics 8, no. 6 (December 28, 2020): 30–34. http://dx.doi.org/10.12737/2587-9111-2020-30-34.

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The aim of the research is to provide a theoretical and practical justification for implementing a compliance system for business management in order to prevent financial risks. To achieve this goal, the definitions of the concept of "compliance" for business purposes from various sources are considered, since there is no normative concept. The author offers the definition of "compliance" as a set of measures aimed at compliance with legal norms and internal rules of an economic entity in order to protect the interests of owners and eliminate financial risks. The experience of business management using the compliance implementation system is summarized. The significance of the compliance policy at the enterprise as a means of increasing competitiveness and efficiency of activities is revealed. The theoretical and methodological basis of the research is the development of domestic and foreign scientists on the significance of a set of measures aimed at compliance with legislative norms and internal rules of an economic entity in order to protect the interests of owners and eliminate financial risks. It is concluded that companies that use the compliance system are more competitive than other similar companies, which means that they can increase the efficiency of their activities and, as a result, financial results.

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15

Far, S. Y., R. Mirzaei, M. B. Katrini, M. Haghshenas, and Z. Sayahi. "Assessment of Health, Safety and Environmental Risks of Zahedan City Gasoline Stations." Engineering, Technology & Applied Science Research 8, no. 2 (April 19, 2018): 2689–92. http://dx.doi.org/10.48084/etasr.1794.

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The purpose of this study was to assess the risk and determine the health, safety and environmental status of fuel stations in Zahedan. In this study, failure mode and effects analysis (FMEA) method was used for risk assessment in accordance with the HSE guidelines, national and international standards and laws. In this cross-sectional study, 2 governmental stations and 6 active private stations were evaluated after the necessary coordination with the relevant units. As a result of risk assessment, 27 health risks, 55 safety risks and 22 environmental risks were identified. From among all the identified risks, 67 risks had a Risk Priority Number (RPN) of less than 91, 31 risks had an RPN ranging between 91 and 201, and 6 risks had an RPN of over 201. The findings of the study indicated that compliance with the HSE requirements was 51.85%, in the area of health, 47.57% in the area of safety and 27.45% in the environmental area. Overall compliance with the HSE requirements was 42.54%. In order to distribute fuel considering health, reducing risk and increasing compliance with the requirements for safety improvement, health and environmental conditions of fuel supplies are essential.

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16

YAKIMOVA, Vilena A., and Viktor S. RADOMSKII. "Compliance control as a mechanism for ensuring the economic security of businesses in e-commerce." National Interests: Priorities and Security 17, no. 8 (August 16, 2021): 1491–518. http://dx.doi.org/10.24891/ni.17.8.1491.

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Анотація:

Subject. The article focuses on organizational and methodological issues of internal compliance control in e-commerce businesses. Objectives. We refine the design and technique of internal compliance control for e-commerce businesses. Methods. The study relies upon methods of analysis and generalization, grouping, systematization, risk-based, systems and business process approaches. Results. We devised the five-component compliance control sysem, determined its principles and functions ensuring the economic security of e-commerce businesses. We suggest conducting compliance procedures intended to mitigate IT risks and accounting for the specifics of e-commerce business processes. Conclusions and Relevance. In e-commerce, compliance control serves for identifying and monitoring compliance risks, ensuring safe operations of businesses, which is vital for people. The information system for IT risk protection was found to underlie compliance control, while control procedures can be classified into general and applied. The findings can be used to set up a reliable and effective compliance system for e-commerce businesses in order to prevent economic abuses and crime.

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17

Янушкина, Юлия, Yuliya Yanushkina, Виктория Няргинен, and Viktoriya Nyarginen. "Compliance risks in contractual work at the transaction conclusion stage." Russian Journal of Management 7, no. 1 (June 19, 2019): 51–55. http://dx.doi.org/10.29039/article_5d0a42961c0d47.31434383.

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This article discusses the compliance risks associated with contractual work, which is the main aspect of the operation of the enterprise. However, its effectiveness is impossible without proper organization of practical actions to verify counterparties, as well as clear wording and conditions for changing, terminating and executing contracts representing the process of interrelated and successive events.

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18

Tapiero, Charles S. "Financial regulation, non-compliance risks and control: A statistical approach." Risk and Decision Analysis 5, no. 2-3 (2014): 113–27. http://dx.doi.org/10.3233/rda-140104.

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19

Brynhildsen, Jan. "Combined hormonal contraceptives: prescribing patterns, compliance, and benefits versus risks." Therapeutic Advances in Drug Safety 5, no. 5 (August 28, 2014): 201–13. http://dx.doi.org/10.1177/2042098614548857.

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20

Franklin, James, Scott A. Sisson, Mark A. Burgman, and Jennifer K. Martin. "Evaluating extreme risks in invasion ecology: learning from banking compliance." Diversity and Distributions 14, no. 4 (March 31, 2008): 581–91. http://dx.doi.org/10.1111/j.1472-4642.2008.00478.x.

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21

Depetris, Jorge. "The Regulatory Craft Controlling Risks, Solving Problems, and Managing Compliance." Documentos y Aportes en Administración Pública y Gestion Estatal, no. 3 (December 27, 2005): 135–37. http://dx.doi.org/10.14409/da.v1i3.1177.

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22

Barron, T. Ian, Kathleen Bennett, and John Feely. "A Competing Risks Prescription Refill Model of Compliance and Persistence." Value in Health 13, no. 6 (September 2010): 796–804. http://dx.doi.org/10.1111/j.1524-4733.2010.00741.x.

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23

Urofsky, Philip, and Danforth Newcomb. "FCPA broker-dealer case highlights compliance risks for financial institutions." Journal of Investment Compliance 14, no. 3 (September 9, 2013): 34–37. http://dx.doi.org/10.1108/joic-09-2013-0029.

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24

Borsato, Bruno de Souza e. Silva. "Applying machine learning for detecting compliance risks on business procedures." Rio Oil and Gas Expo and Conference 20, no. 2020 (December 1, 2020): 467–68. http://dx.doi.org/10.48072/2525-7579.rog.2020.467.

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25

Esakov, G. A. "COMPLIANCE AND PREVENTION OF RISKS OF CRIMINAL OR ADMINISTRATIVE LIABILITY." Zakon 16, no. 5 (2021): 74–81. http://dx.doi.org/10.37239/0869-4400-2021-16-5-74-81.

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26

Falco, Francesco. "Financial institutions and the new class action under Italian law: a compliance approach." Journal of Investment Compliance 20, no. 4 (November 4, 2019): 9–14. http://dx.doi.org/10.1108/joic-08-2019-0046.

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Purpose To explain the impacts of the class action, as recently amended by the Italian Parliament, and help financial institutions to develop a compliance approach in order to avoid and/or mitigate the relevant risks. Design/methodology/approach This article provides an overview on the Italian class action, as recently amended by the Italian Law No. 31/2019, examines the relevant impact for financial institutions (taking into account some recent case law) and identifies possible compliance solutions to avoid/mitigate the relevant risks. Findings The recent amendments to the Italian class action may increase risks for financial institutions. Practical implications (Optional) Financial institutions should examine their relationships with stakeholders in the light of the new Italian class action in order to implement policies and procedures to prevent the relevant risks. Originality/value Practical guidance from an experienced lawyer in the litigation and compliance fields.

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27

Яровова, В., V. Yarovova, Н. Жукова, N. Zhukova, Андрей Шишкин, and Andrey Shishkin. "Improving the Efficiency of Internal Control When Calculating with the Budget." Scientific Research and Development. Economics 7, no. 3 (July 3, 2019): 66–70. http://dx.doi.org/10.12737/article_5cfe0bd488d180.74936337.

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Анотація:

The article analyzes the possibility of reducing tax risks in the enterprise through the introduction of tax compliance. The main stages of tax compliance implementation are presented. The method of tax risk management on the introduction of tax compliance is substantiated.

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28

Chmutova, I. M., O. S. Bezrodna, and D. I. Nechyporenko. "The Methodological Instrumentarium for Assessing Compliance Risks of Financial Monitoring of Banks." Business Inform 11, no. 514 (2020): 296–309. http://dx.doi.org/10.32983/2222-4459-2020-11-296-309.

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Анотація:

The article examines the essence and directions of identification of compliance risks of banks. The criteria for assessing compliance risks of financial monitoring of banks are purported to be: the level of development of the compliance system; experience in applying influence measures to banks by the NBU for violation of the requirements of legislation in the field of prevention and counteraction to money laundering and financing of terrorism (in the form of written warnings and fines); operational risk level and staff turnover. The defined directions of assessment include result factors (taking into account cases of risk materialization) and the factors that make the compliance function implementation process uncertain. The sequence and methodological instrumentarium for assessing compliance risks of financial monitoring of banks are presented, which provides for: formation of a database for analytical research by means of digitization of data (using coefficient approach and binary characteristics method); consolidation of the results of computation of indicators for the integral assessment of the researched phenomenon (by building up a composite indicator by means of the weighted amounts method). Based on information on the activities of individual banks, which during 2014-2020 belonged to the category of systemically important, practical approbation of the developed methodological instrumentarium was carried out. Recommendations on minimization of compliance risks of banks in the field of financial monitoring are formed, including: improvement of intrabank control systems; ensuring uninterrupted work and thorough training of staff; introduction of operational algorithms of actions to identify the reasons for their involvement in the processes of money laundering; using a risk-oriented approach to test business functions; introduction of effective monitoring systems and expansion of the list of compliance risk management instruments.

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29

Chmutova, I. M., O. S. Bezrodna, and D. I. Nechyporenko. "The Methodological Instrumentarium for Assessing Compliance Risks of Financial Monitoring of Banks." Business Inform 11, no. 514 (2020): 296–309. http://dx.doi.org/10.32983/2222-4459-2020-11-296-309.

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Анотація:

The article examines the essence and directions of identification of compliance risks of banks. The criteria for assessing compliance risks of financial monitoring of banks are purported to be: the level of development of the compliance system; experience in applying influence measures to banks by the NBU for violation of the requirements of legislation in the field of prevention and counteraction to money laundering and financing of terrorism (in the form of written warnings and fines); operational risk level and staff turnover. The defined directions of assessment include result factors (taking into account cases of risk materialization) and the factors that make the compliance function implementation process uncertain. The sequence and methodological instrumentarium for assessing compliance risks of financial monitoring of banks are presented, which provides for: formation of a database for analytical research by means of digitization of data (using coefficient approach and binary characteristics method); consolidation of the results of computation of indicators for the integral assessment of the researched phenomenon (by building up a composite indicator by means of the weighted amounts method). Based on information on the activities of individual banks, which during 2014-2020 belonged to the category of systemically important, practical approbation of the developed methodological instrumentarium was carried out. Recommendations on minimization of compliance risks of banks in the field of financial monitoring are formed, including: improvement of intrabank control systems; ensuring uninterrupted work and thorough training of staff; introduction of operational algorithms of actions to identify the reasons for their involvement in the processes of money laundering; using a risk-oriented approach to test business functions; introduction of effective monitoring systems and expansion of the list of compliance risk management instruments.

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30

Syrtseva, Svitlana, and Yuliia Cheban. "ACCOUNTING COMPLIANCE: AN INSTITUTIONAL APPROACH TO ENSURE THE QUALITY OF ACCOUNTING INFORMATION OF THE ENTERPRISE." Baltic Journal of Economic Studies 7, no. 2 (March 26, 2021): 210–18. http://dx.doi.org/10.30525/2256-0742/2021-7-2-210-218.

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Анотація:

The subject of the study is theoretical, methodological and practical aspects of the formation, development and functioning of the accounting compliance system as an appropriate institution for ensuring the quality of enterprise accounting information. Methodology. The methodological basis of the study is general scientific and special methods of cognition. In the course of the study, the following methods were used: abstract-logical method was used for the cognition of the essence, approaches, clarification of the concept of “compliance”, “accounting compliance”; bibliographic method was used for the study and development of scientific works devoted to the definition of the essence of the term “compliance”; graphic method was used for the design of the described processes using logical block diagrams; system-structural analysis was used to improve the mechanism for the formation and implementation of the accounting compliance system as an institution for ensuring the quality of accounting information. The objective of the study is to consider the essence of the concept of “compliance”, “accounting compliance”, to establish and define the role of accounting compliance in ensuring the quality of accounting information, to substantiate methodological approaches and practical recommendations for its formation and implementation at the enterprise. Results. The study has established that the definition of “compliance” should include an institutional approach, i.e. “compliance” should be understood as an institution of the internal control and corporate ideology system, which, using a system of regulations and a set of control mechanisms, forms the company’s ability to comply with established norms, standards, rules and procedures; a means of propaganda aimed at promoting the requirements for compliance with internal regulatory documents and generally accepted social values of the enterprise; a set of measures aimed at identifying risks accompanying the activities of the enterprise and eliminating their adverse consequences. “Accounting Compliance” is an institution of the internal control and corporate ideology system of the enterprise, which with the help of a system of measures and a set of control mechanisms provides the ability to track, monitor, evaluate and comply with the requirements of regulatory documents, regulations, instructions in the accounting system. It must be necessarily aimed at identifying, reducing and eliminating the risks of distortion, misrepresentation and falsification of accounting information. It has been substantiated that the accounting compliance system, as an appropriate institution, should be formed in stages, based on a set of specially developed internal methods, rules and procedures. It has been proved that most of the actions of the compliance system are aimed at identifying, analysing and assessing risks in the accounting system, and a significant number of documents defining its normative content are closely related to the implementation of the risk management function. Practical implications. In order to ensure the identification of compliance risks in the company’s accounting system and determine their impact on the formation and quality of accounting information, the grouping of risks by type is presented. To implement the functions of accounting compliance, it was proposed to develop and approve a number of internal standards and regulations, which will guide the employees of the Compliance Department in their work. In order to ensure the quality of accounting information to users necessary for making effective management decisions, the organizational and economic mechanism of the accounting compliance system has been developed. Conclusion of the study. Thus, accounting compliance, as an institution for ensuring the quality of accounting information at an enterprise, should be focused on finding, identifying, assessing, analysing and taking measures to minimize compliance risks in the accounting system arising from non-compliance with established rules, standards and procedures for organization and maintenance of accounting. Substantiated methodological foundations and recommendations for the formation and implementation of accounting compliance will not only ensure the quality of accounting information, but also guarantee business purity, a high level of corporate culture. The latter will contribute to improving the efficiency of economic activities and sustainable development of the enterprise.

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Ivantsova, M. A., G. N. Belova, P. L. Shcherbakov, and N. V. Vernik. "Risks of the working environment in the safety ensuring in endoscopy." Experimental and Clinical Gastroenterology, no. 12 (December 23, 2020): 5–15. http://dx.doi.org/10.31146/1682-8658-ecg-184-12-5-15.

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Анотація:

The working environment is forming from the organizational conditions, motivation and the willingness of employees to fulfill their duties in the best way on the one hand, and is determined by the team ethical standards, on the other hand. Risks associated with the working environment are composed of compliance risks associated with ensuring compliance with legal requirements for labor protection and regulation, ensuring of infectious safety, as well as risks associated with the physical and psycho-emotional status of medical workers, determining the impact of the “human” factor on the work results. The purpose of this review article is to identify the risks of the working environment in endoscopy, as the first stage of risk management, in order to be able for further assessment of their impact on the safety of medical activities in endoscopy, as well as to identify the ways to reduce or eliminate these types of risks. The article includes the following relevant sections: 1. Compliance risks in endoscopy, as a part of the modern healthcare risk-management system—general questions. 2. Risks of the work environment in endoscopy in the conditions of epidemiological threats associated with a new coronavirus infection SARS-CoV-2 (COVID-19). 3. Risks of the work environment tips and tricks associated with the psychosomatic status and professional burnout of medical personnel in endoscopy.

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McDermott, Ronan, and Patrick Gibbons. "Risk and Compliance with Normative Frameworks Relating to Disaster Management." Journal of International Humanitarian Legal Studies 6, no. 2 (August 27, 2015): 345–76. http://dx.doi.org/10.1163/18781527-00602005.

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Анотація:

This article adopts a comparative socio-legal approach in exploring the relationship between disaster risk and compliance with normative frameworks concerning disaster management. Risk colonisation is the term given to the phenomenon whereby societal risks such as those posed by disasters create further risks, institutional in nature, to disaster management systems themselves. Disaster management systems are exposed to institutional risks, including those that arise from non-compliance with the range of laws and guidelines relating to disaster management developed in recent years. Grounded in exploratory case studies drawn from Indonesia and Ireland, it is suggested that the consequences of this phenomenon is that, in circumstances in which disaster risk is perceived to be high, patterns of compliance with regulatory frameworks are likely to be characterised by recourse to scientific expertise. Blame avoidance and defensive compliance strategies are also likely to occur. Conversely, in circumstances in which disaster risk is perceived to be relatively low, compliance patterns are likely to be ad hoc in nature and allow for significant governmental discretion. The implications of such consequences for the normative underpinning of disaster management are addressed.

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33

AKSENOVA, A. A., and I. E. KONOVALENKO. "TAX COMPLIANCE CONTROL AS A TOOL TO PROTECT AGAINST TAX RISKS." EKONOMIKA I UPRAVLENIE: PROBLEMY, RESHENIYA 4, no. 4 (2021): 78–85. http://dx.doi.org/10.36871/ek.up.p.r.2021.04.04.014.

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Анотація:

The article discusses the importance of tax compliance control as one of the tools to protect entrepre-neurs from tax risks. The article presents different points of view of modern economists who study the role of compliance control in organizations, as well as justifies the need and describes the possible benefits of im-plementing this system.

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M.F., PUTERI NUR FARAH NAADIA, and KHAIRUDDIN A.R. "Shariah Compliance Risk Management in the Provision of Wakaf-Zakat Housings." International Journal of Islamic Thought 19, no. 1 (June 1, 2021): 102–9. http://dx.doi.org/10.24035/ijit.19.2021.200.

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The presence of risks in development of wakaf-zakat housings, as in other developments, are inevitable. The risks if it is not managed properly may cause loss and damages to properties. Consequently, a proper management of risks is crucial in order to mitigate risks. However, the management of risk in the provision of wakaf-zakat housings, as stated in manual guidelines published by JAWHAR (2009; 2007) seems inadequate as it focuses only on the protection of wakaf and zakat properties. Due to the inadequacy, in particular to benefit the asnafi and needy, loss and damages occur upon occurrence of risks probably are due to syubhah methodology adopted in managing risks. Consequently, a study is conducted to review literature on the practice of conventional and Shariah compliance risk management leading to a synthesis framework that could then be recommended for adoption for Shariah compliance risk management in the provision of wakaf-zakat housings. The study is an extended research on the protection of wakaf-zakat properties for the needy and poor via takaful. The study combines review of literature and intensive discussions with experts specializing in the Shariah, wakaf and zakat, and practitioners i.e. developers and consultants involved in wakaf-zakat housings and their contents projects. Findings of the study suggest that: Shariah compliance risk management in the provision of wakaf-zakat housings are not being practiced; the practice lack comprehensiveness in terms of the management of risks in the provision of wakaf-zakat housings, and; the outcome of the study is a synthesis list comprising of processes and steps in Shariah compliance risk management in the provision of wakaf-zakat housings is produced

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Rogulenko, Tatiana M., and Valeria V. Mironenko. "THE ESSENCE, GOALS AND OBJECTIVES OF THE ANALYSIS OF THE FINANCIAL CONDITION OF AN ECONOMIC ENTITY AND ITS USE IN THE COMPLIANCE CONTROL SYSTEM." EKONOMIKA I UPRAVLENIE: PROBLEMY, RESHENIYA 3, no. 11 (2021): 161–65. http://dx.doi.org/10.36871/ek.up.p.r.2021.11.03.025.

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This article raises the problem of improving the analysis of the financial condition of an eco-nomic entity and its use in the compliance control system. The main tasks of using the analysis in the compliance control system in order to increase the efficiency of corporate management of the economic activity of an economic entity have been determined. It is emphasized that the analysis of the financial condition is one of the mandatory components of both internal control and compliance control, the differences in the use of the analysis results are analyzed. It is concluded that the role of financial analysis and its use in the compliance control system in order to improve the efficiency of corporate governance is constantly increasing in order to prevent compliance risks and regulatory risks due to external influence of supervisors.

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Krepysheva, A. M., A. A. Sergievskaya, and M. A. Storchevoy. "DEFINITION AND MEASUREMENT OF RISK IN COMPLIANCE MANAGEMENT." Strategic decisions and risk management 11, no. 2 (September 23, 2020): 150–59. http://dx.doi.org/10.17747/2618-947x-2020-2-150-159.

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The article is devoted to the problem of defining and measuring risk in compliance management - an important management function of a company aimed at complying with laws and ethical norms. A general definition of risk from the theory of probability and various approaches to understanding risk in the literature on risk management are considered, then the definition of compliance risk and ways to managing this risk in compliance management are explored. The problem of quantitative measurement of compliance risks and some methods of its solution are described. The authors analyze the approaches of several international companies (in the mining industry, oil and gas industry, mobile communications, FMCG) to measuring or assessing compliance risks, as well as organizing compliance risk management in practice (organizational structures, processes, etc.). The work also discussed the concept of risk appetite, that characterizes the willingness of an organization to take on a certain positive level of risk, while logically it is poorly compatible with the concept of compliance risk as a risk of violation of the legislation.

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AL Fukaha, A'sem Sami Ehmoud. "Compliance in the Islamic financial institutions and its relationship with the risks." Journal of Business & Management (COES&RJ-JBM) 9, no. 1 (December 28, 2020): 1. http://dx.doi.org/10.25255/2306.8043.2020.9.1.1.19.

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This research deals with two components. The first component addresses the clarification of the compliance in the Islamic financial institutions and the statement of its legitimacy and how important it is to the Islamic banks. The concept of non-compliance risk with its forensic types, its role and relationship to the dangerous effects of drug abuse, and the reputation of the bank and its relationship towards fighting against money laundering in Islamic banks. The regulators need to achieve legitimate compliance in accordance to its requirements of the implementation in the Islamic banks (Islamic Sharia). The research also shows the extent of the need for these regulators to achieve compliance with their legitimate oversight to avoid any risks that might cause it.

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Mustapha, Zakariya, Sherin Kunhibava, and Aishath Muneeza. "Court referral and Nigeria's Financial Regulation Advisory Council of Experts (FRACE)." ISRA International Journal of Islamic Finance 11, no. 2 (December 9, 2019): 206–25. http://dx.doi.org/10.1108/ijif-11-2018-0126.

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Purpose This paper aims to highlight resolution of Islamic finance dispute by common law-oriented courts in Nigeria with respect to Sharīʿah non-compliance and legal risks thereof, as well as the lesson to learn from Malaysia in that regard. This is with view to ensuring Sharīʿah compliance and legal safety of Islamic finance practice as prerequisites for sustainability of the Nigerian Islamic finance industry. Design/methodology/approach A qualitative method was used; interviews were conducted with different categories of experts and primary data collected in relation to Sharīʿah non-compliance and legal risks in adjudicating Islamic finance dispute by civil courts and the role of expert advice as basis for court referral to Financial Regulation Advisory Council of Experts. A doctrinal approach was adopted to analyse relevant legislative provisions and content analysis of secondary data relevant to applicable provisions in matters of finance before civil courts. Findings The paper discovers an indispensable role of conventional financial regulations in sustaining Islamic finance industry. Appropriate laws for Islamic finance under the conventional framework foster legal safety and Sharīʿah compliance of Islamic finance activities in related cases handled by courts. Nigeria civil courts can aid sustainability of Islamic finance when so equipped and enabled by laws that address apparent Sharīʿah non-compliance and legal risks in judicial dispute resolution. Inadequate legal provisions for dispute resolution breeds Sharīʿah non-compliance and legal risks in Islamic finance, undermine its prospects and stand inimical to its sustainability. Research limitations/implications This research is limited by its focus on Sharīʿah non-compliance and legal risks alone, which emanate mainly from judicial resolution of Islamic finance dispute by Nigerian civil courts. Practical implications This research seeks to motivate a determined and deliberate regulatory action and change in approach towards addressing apparent risks associated with Islamic finance while resolving disputes therein by civil courts. It has implications on common law jurisdictions generally that adopt similar approach as Nigeria's while introducing Islamic finance into their conventional finance framework. Originality/value Dispute resolution and other regulatory functions of civil courts are important to Islamic finance though apparently overlooked while introducing Islamic finance in Nigeria as in other emerging jurisdictions. This research ascertains the role of the civil courts as indispensable for Islamic Financial Institution (IFIs) operations and demonstrates that such courts are needed for the development and sustainability of Islamic finance industry. The research demonstrates the end-to-end requirement of Sharīʿah compliance of Islamic financial transactions as absolute and needs be ensured and guarded at dispute resolution level by properly equipped courts.

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Achkasova, S. A. "The Qualimetric Model of Assessment of the Internal System of Compliance Risks Management in the System of Accumulative Pension Provision." Business Inform 12, no. 515 (2020): 338–47. http://dx.doi.org/10.32983/2222-4459-2020-12-338-347.

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The article discusses the issues of developing a qualimetric model for assessing the internal compliance risks management system in the system of accumulative pension provision. The object of the research is the compliance risks management in the system of accumulative pension provision. One of the least developed issues is the lack of research on the assessment of the internal risk management system on the basis of a qualimetric approach. This hinders the practical aspects of introspection regarding the assessment of the quality of the internal compliance risk management system in the system of accumulative pension provision. Using the methods of analysis and synthesis, the general components for the development of a qualimetric model of quantitative assessment of the internal system of compliance risk management in the system of accumulative pension provision are defined. A qualimetric approach was used during the research. Thus, the article, using the factor-criterion modeling (qualimetric approach), develops a qualimetric model of quantitative evaluation of the internal system of compliance risk management in the system of accumulative pension provision. The proposed qualimetric model has a number of features, including organizational and informational, methodological and process components of compliance risk management in the system of accumulative pension provision. This provides such an advantage as the possibility of introspection and internal control of the formed internal system of compliance risk management in the system of accumulative pension provision. Also, the developed model allows the application of a qualimetric approach to solving the scientific task of assessing the internal system of compliance risk management in the system of accumulative pension provision, which will provide a multi-criteral approach to the management of these risks.

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Marx, Johan, and Ronald Henry Mynhardt. "Private hospitals in South Africa: A compliance framework." Corporate Ownership and Control 9, no. 4 (2012): 145–53. http://dx.doi.org/10.22495/cocv9i4c1art2.

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The primary compliance risks faced by private hospitals in South Africa were analysed. Compliance for private hospitals fell into three categories: patient care, regulatory compliance and human resources. The results of this study indicated that these hospitals are struggling to ensure compliance as a result of the complexity of and constant changes to applicable legislation. The study confirmed that private hospitals face compliance risk. A compliance framework was developed, which could reduce compliance risk of private hospitals in South Africa. Outsourcing could be considered in order to focus on core business activities and to reduce the cost of compliance.

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Chhina, Ramandeep Kaur. "Managing money laundering risks in commercial letters of credit." Journal of Money Laundering Control 19, no. 2 (May 3, 2016): 158–68. http://dx.doi.org/10.1108/jmlc-05-2015-0019.

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Purpose The purpose of this paper is to critically examine the role of banks in detecting and mitigating money laundering risks in trade finance activities, especially in commercial letters of credit, and to answer the central question: do banks comply with regulations that are inadequate (if so, is more stringent regulation compatible with the commercial world of trade finance?), or are banks are in danger of non-compliance? Design/methodology/approach The relevant principles promulgated by international organisations as well as the law enacted in UK to prevent money laundering risks in commercial letters of credit was examined to assess banks’ compliance with their anti-money laundering (AML) obligations. The key provisions of the Money Laundering Regulations 2007, Proceeds of Crime Act 2002 and the Wolfsberg Trade Finance Principles were discussed, and the extent of banks’ compliance with these provisions was highlighted by carefully analysing the steps a bank might take at various stages of the operation of a commercial letter of credit and what the banks in fact do. The paper relies heavily on the findings of the recent study conducted by the Financial Conduct Authority (UK) to analyse the actual practice followed by UK banks in controlling money laundering risks in transactions involving commercial letters of credit. Findings The paper establishes that considering the formal nature of commercial letters of credit (which makes them independent from the underlying transaction), any stringent measures to regulate trade finance activities of a bank may destroy the effectiveness of commercial letters of credit as a tool for promoting international trade. The current law and regulations together with the Joint Money Laundering Steering Group Sectoral Guidance and the Wolfsberg Principles provide the requisite legal and regulatory framework to control money laundering risks in commercial letters of credit. The paper however establishes that the majority of banks in UK currently appear to be in danger of non-compliance with the UK AML regime and certainly need to meet their AML obligations in a more serious way. Practical implications The findings may influence banks to adopt a more vigilant approach in their trade finance activities and to undertake more responsibility in ensuring compliance with the current AML law and regulations, while highlighting that their current practice may put them in danger of non-compliance. Originality/value The paper demonstrates in an exceptional way the legal and regulatory requirements for banks to prevent money laundering risks in their trade finance activities and where, in practice, the banks are falling short of compliance with these requirements. By adopting a step-by-step approach in evaluating banks’ “current-and-must have” approach to controlling money laundering risks at various stages of a commercial letter, the paper makes a valuable contribution to the study of combating money laundering in commercial letter of credit transactions.

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Uzych, Leo. "Corporate Compliance in Home Health: Establishing a Plan, Managing the Risks." Journal of Gerontological Nursing 25, no. 12 (December 1, 1999): 5. http://dx.doi.org/10.3928/0098-9134-19991201-05.

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Neilson, Michael R. "Regulatory compliance and product stewardship: Tools for managing tort liability risks." Environmental Claims Journal 12, no. 2 (December 1999): 23–37. http://dx.doi.org/10.1080/10406020009355112.

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Kevorkova, Zh A., and N. G. Sapozhnikova. "conceptual Provisions of compliance as a Form of Internal control in Economic Entities." Accounting. Analysis. Auditing 7, no. 2 (May 7, 2020): 6–16. http://dx.doi.org/10.26794/2408-9303-2020-7-2-6-16.

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The article is devoted to the issues of the organization of compliance as a type of internal control forms and the possibility of applying methodological approaches to it that are typical for the organization of the internal control system. The methodological basis and results of the study are based on the experience of management of international companies, on the organization of the compliance system, as well as on the results of a review of various sources of information regarding this issue. It is revealed that foreign practice allocates compliance to an independent structural division, whose employees are given the appropriate powers starting from consulting and training employees on compliance issues to conducting an internal investigation of fraudulent actions and participating in the identification and assessment of compliance risks of an economic entity. Recommendations that are made are based on the need to develop standards for an economic entity that meet international requirements for identifying and evaluating compliance risks associated with professional business conduct and monitoring them. The stages of development of compliance as a form of control are determined. The theoretical and practical significance of the study is to justify the application of existing practices of the compliance organization for the development of internal interaction rules, procedures, and decision-making process by an economic entity.

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Barkah, Syaiful, and Alugoro Mulyowahyudi. "MANAJEMEN PENGANGKUTAN BARANG KIMIA BERBAHAYA: TINJAUAN KESELAMATAN DAN PEMENUHAN REGULASI." Digital Economic, Management and Accounting Knowledge Development (DEMAnD) 2, no. 1 (June 9, 2020): 1–16. http://dx.doi.org/10.46757/demand.v2i1.95.

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This study analyzes the safety management of transporting dangerous chemical goods that are transported from the factory to the customer. By conducting a risk assessment of transportation activities and reviewing company compliance with regulations and laws. This research is descriptive qualitative or observational, the analytical method used in this study is the HIRADC (Hazard Identification Detemining Control Risk Assessment) method. The results of this study provide an overview of the level of safety of transporting hazardous chemicals to carry out risk assessments in shipping goods to customers. Risks that score more than 1 are risks that must be followed up by making an objective program. The level of risk comes from a combination of likelihood (probability) and severity of impact (consequences). The results of this study are expected to be used to control and reduce current risks. Evaluation of company compliance with government regulations and legislation, can be used as a basis for developing compliance plans that were not previously met.

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Von Rosen, V. "Compliance and compliance-risks in the context of corporate responsibility and corporate governance (certain aspects of foreign practice)." Galic'kij ekonomičnij visnik 65, no. 4 (2020): 246–53. http://dx.doi.org/10.33108/galicianvisnyk_tntu2020.04.246.

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Sun, Heyuan, and Zhiyuan Liu. "Risk Prevention And Control And Construction Path Of Criminal Compliance Of Construction Engineering Corporates." Asian Law & Public Policy Review 07 (2022): 54–80. http://dx.doi.org/10.55662/alppr.2022.702.

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The corporate compliance system, an internal control mechanism to prevent, detect and stop illegal and criminal offences within a corporate, can serve to effectively solve potential criminal compliance risks in construction projects. The construction projects are characterized by their long-term, continuous and concealed nature. In addition, the system design of construction projects is limited by many factors, including the limitation of traditional centralized administrative mode, the absence of process supervision mechanism and reciprocal motivation mechanism, the complicated setting of supervision matters, the lack of reciprocity of the motivation mechanism and the dislocation of the main body in regulatory responsibilities. Such that, numerous violations of rules and regulations, including quality-centred disputes and safety accidents, keep coming up in the construction industry in China. Under the context of the co-development of economic and legal globalization, in order to prevent and control the potential criminal compliance risks of construction engineering corporates, it is necessary to construct compliance rules centred on supervision activities, form a corporate criminal offence and compliance identification mechanism, improve the corporate criminal liability system, establish corporate obligation and rules of criminal compliance, formulate measures for the dual models of punishment and incentive, and promote the construction and implementation of the corporate compliance system of the construction industry.

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Bognár, Ferenc, and Petra Benedek. "Case Study on a Potential Application of Failure Mode and Effects Analysis in Assessing Compliance Risks." Risks 9, no. 9 (September 9, 2021): 164. http://dx.doi.org/10.3390/risks9090164.

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Assessing and reducing compliance risks can now be considered one of the core criteria for business success. While failure mode and effect analysis (FMEA) is widely used in engineering, its application in the financial sector is quite novel, primarily related to compliance risk assessment. This paper presents the results of exploratory research based on the potential application of FMEA in a focus group of compliance experts at one of the largest Central and Eastern European commercial banks. This study aims to establish a process for assessing compliance risks that builds on the strengths of both the qualitative and quantitative assessment methods. Applying FMEA based on a nominal group technique and further statistical analysis provides an opportunity to compare expert assessments and the consensus level of the participants. As a result, the similarity or difference of the assessment patterns can be quantified, providing objective feedback on the evaluation. Finally, this paper proposes lifting the detectability of failures as an evaluation dimension to the same level of importance as the probability and impact of non-compliance and using agreement testing statistical methods.

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Drozd, M. G. "Antimonopoly Compliance: Review of Foreign Practice. Part I." Russian competition law and economy, no. 4 (January 12, 2022): 60–67. http://dx.doi.org/10.47361/2542-0259-2021-4-28-60-67.

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The article contains the best foreign practices of implementing the of antimonopoly compliance Institute (compliance) in order to identify and manage the risks of violations of competition law and the possibility of preventing these violations by companies. The article presents the definition of compliance, describes the experience of foreign competition authorities in development, organization and implementation of compliance programs. Special attention is paid to the potential benefits that business receives as part of the successful implementation of the antimonopoly compliance system, including the possibility of mitigating circumstance in case a company commits an antimonopoly offense.

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Borzakov, Dmitry V. "Digital transformation of compliance management - a strategic solution for business continuity." Vestnik Voronezhskogo gosudarstvennogo universiteta. Ser.: Ekonomika i upravlenie = Proceedings of Voronezh State University. Series: Economics and Management, no. 3 (September 30, 2021): 22–32. http://dx.doi.org/10.17308/econ.2021.3/3523.

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Introduction. Compliance is one of the crucial factors for the implementation of strategic solutions aimed at ensuring business continuity. It is vital both for performing previously assumed obligations and for meeting new requirements from stakeholders in a crisis. In today’s rapidly changing environment, businesses depend on information and information technologies and use them for business continuity planning, thus taking a proactive approach. In this regard, digital transformation of compliance management procedures is required. Purpose. To study modern digital transformation technologies which can be applied to compliance management procedures in order to ensure business continuity. Methodology. The main conclusions made in this article are based on general scientific methods: analysis, synthesis, comparison, deduction, and induction. Conclusions. Big data analysis, machine learning technologies, and robotic process automation allow for complete or partial automation of the following compliance management procedures: compliance risks analysis and prediction; a comprehensive check on the contractors and contract analysis; employee training; maintaining the systems reporting on compliance breaches; monitoring and identification of suspicious activity; internal investigations. Strategic decisions aimed at the automation of compliance management give a company an opportunity to quickly analyse data and assess compliance risks, to use valuable human resources for more complex tasks, to improve the discipline and the quality of employee training, and to maintain the required level of business operations during and after a crisis.

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