Compliance Management in Financial Industries A Model-based Business
Since the peak of the world financial crisis in 2008, compliance management has gained more and more interest from practice and research. In particular the financial service industry is strongly regulated and has to follow specific laws, standards and gui
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Mathias Eggert
Compliance Management in Financial Industries A Model-based Business Process and Reporting Perspective
SpringerBriefs in Information Systems
Series editor Jörg Becker
For further volumes: http://www.springer.com/series/10189
Mathias Eggert
Compliance Management in Financial Industries A Model-based Business Process and Reporting Perspective
123
Mathias Eggert Cologne Germany
ISSN 2192-4929 ISBN 978-3-319-03912-1 DOI 10.1007/978-3-319-03913-8
ISSN 2192-4937 (electronic) ISBN 978-3-319-03913-8 (eBook)
Springer Cham Heidelberg New York Dordrecht London Library of Congress Control Number: 2013956630 The Author(s) 2014 This work is subject to copyright. All rights are reserved by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed. Exempted from this legal reservation are brief excerpts in connection with reviews or scholarly analysis or material supplied specifically for the purpose of being entered and executed on a computer system, for exclusive use by the purchaser of the work. Duplication of this publication or parts thereof is permitted only under the provisions of the Copyright Law of the Publisher’s location, in its current version, and permission for use must always be obtained from Springer. Permissions for use may be obtained through RightsLink at the Copyright Clearance Center. Violations are liable to prosecution under the respective Copyright Law. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. While the advice and information in this book are believed to be true and accurate at the date of publication, neither the authors nor the editors nor the publisher can accept any legal responsibility for any errors or omissions that may be made. The publisher makes no warranty, express or implied, with respect to the material contained herein. Printed on acid-free paper Springer is part of Springer Science+Business Media (www.springer.com)
Foreword
Since the world financial crisis, legislators all over the world have enacted new regulations and guidelines in order to monitor banks and to control their risk behavior. The compliance with regulatory requirements is often concerned with the compliant design of business processes and information systems. Due to the steady increase in regulations, this design effort challenges particularly the financial service industry. On the one hand, financial institutes must provide organizational structures to enable a proper collaboration of IT and legal experts when planning
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