If financial services institutions (FSIs) do not comply with a variety of new regulations they can face criminal charges. Despite budget pressures they must therefore continue to invest in technologies in support of their compliance mandate. This paper describes the major regulations applying to FSIs and discusses IT spending to comply with those regulations.
Journal of Financial Regulation and Compliance – Emerald Publishing
Published: Dec 1, 2004
Keywords: Compliance; Risk management; Regulatory mandates; Accounting standards regulations; Cost of compliance; Sarbanes‐Oxley; Basel II; IAS; USA; PATRIOT Act
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