Case Studies

Simultaneously Conducting An Ongoing Validation & Gap Analysis for the Recently Published Basel IV Rules

A SIFI with global operations is currently performing an ongoing validation for Basel Advanced Rules. At the same time, BIS has published the final rule for Basel IV which will be implemented across the G20 member nations in the coming months. The second line needs to perform an ongoing validation while the first line is reviewing the new rules and performing assessments and gap analysis. [...]

Read More

Managing Rule Content Efficiently to Improve Compliance

A mid-range bank with an ambitious plan to grow and diversify realized that their current compliance program could not effectively support the challenges of their expanding corporate structure. To satisfy these, demands they needed to improve the execution and management of their compliance efforts. Senior management needed the transparency into the broad range of issues and projects that come with the broader scope of operations. The staff is facing difficulty in keeping up with the demands [...]

Read More

A Comprehensive Evidence Management System to Demonstrate Compliance

A mid-range bank with an ambitious plan to grow and diversify realized that their current compliance program could not effectively support the challenges of their expanding corporate structure. To satisfy these, demands they needed to improve the execution and management of their compliance efforts. Senior management needed the transparency into the broad range of issues and projects that come with the broader scope of operations. The staff is facing difficulty in keeping up with the demands [...]

Read More

Conducting an Ongoing-Validation for the Basel Advanced Rules

The Basel regulation contemplates that an organization create a validation framework to conduct both an initial validation and periodically on-going validations to ensure the organization remains compliant. This can be a time consuming and costly exercise because it requires the 2nd line of defense including more senior supervisors. The content, role responsibility, 3-line of defense support and evidence management provided by the bCube Compliance Delivery Platform makes this process faster a [...]

Read More