Download Compliance Management in Financial Industries: A Model-based by Mathias Eggert PDF

By Mathias Eggert

Since the height of the realm monetary situation in 2008, compliance administration has received progressively more curiosity from perform and examine. particularly the monetary carrier is strongly regulated and has to persist with particular legislation, criteria and instructions. contemplating the progressively expanding variety of felony necessities within the layout of data platforms is a problem to monetary provider services. This publication investigates the demanding situations of compliance administration in monetary industries and gives options for a compliant layout of data types. From a enterprise approach viewpoint, an procedure is gifted that allows the automated checking of commercial approach versions. From a supervisory reporting point of view a modeling strategy is gifted that permits for modeling regulatory info warehouse requisites in addition to its research. along with those views the writer offers insights into the perceived courting of knowledge platforms and Law.

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Research results that follow the design science research paradigm can be classified within the research output schema of March and Smith (1995), who develop a classification of relevant design science artifacts. These research outputs are constructs, models, methods, and instantiations (March and Smith 1995). Constructs form a specialized language and explicate the shared knowledge of a particular domain, such as the mentioned modeling techniques for business processes (Keller et al. 1992; Object Management Group 2005; Object Management Group 2006) or data warehouses (Becker et al.

Case studies provide valuable insights into such topics and investigation areas (Benbasat et al. 1987). 3 Research Process and Outcome As outlined in Sect. 2, this book has four major research questions (RQ1–RQ4). Each question is answered by two or more research results, which are assigned to one of the four research areas (Compliance Management and IS, Business Process Compliance, Reporting Compliance, and Collaboration of IS and Legal Experts). Furthermore, each research result can be primarily assigned to one or more phases of the design science research methodology according to Peffers et al.

The concept is then applied in two evaluation workshops. 4). 1 State-of-the-Art Many business process compliance checking approaches have been introduced in the literature (Awad 2010; El Kharbili et al. 2008a). They can be classified regarding the point in time when the analysis is executed. In general, the approaches can be differentiated between forward (design-time and run-time) and backward compliance checking approaches (see Sect. 4). The state-of-the-art 36 4 Research Results analysis at hand investigates design-time compliance checking approaches and their general applicability in different application scenarios.

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