Case Studies

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 [...]

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A Comprehensive Evidence Management System to Demonstrate Compliance

The project involved the task of demonstrating a business process for compliance that could be extensible across the organisation.   Situation/Problem: Our client had the task to perform an ongoing validation process for Basel II/III. Every time they perform the validation process, it used to be a fresh start. This cost time, effort and dollars. They were looking for a better solution to perform this exercise. Solution: We discussed w [...]

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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 [...]

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