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Compliance Chapter 5 - Governance, Risk & Compliance > Compliance Risk > Flashcards

Compliance Risk Flashcards

1
Q

BIS Responsibility

A

responsibility lies with senior managers

Board of directors held liable for violations

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2
Q

Fintech

A

Financial technology which changes financial sector

Open banking
cryptocurrencies
sales finance

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3
Q

RegTech

A

regulatory tech helps regulatory risk caused by cybercrime and fintech

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4
Q

Compliance risk definition according to BIS

A

specifically refers to code of conducts

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Compliance Chapter 5 - Governance, Risk & Compliance (3 decks)

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