ABM: Concepts and Practice · Part D: Compliance and Corporate Governance
Chapter 21: Compliance audit and risk
How a bank checks that it complies: audits of every kind, risk-based audit, reporting and disclosure, and a framework to find, score and test compliance risks.
Buyers of the e-book, or of the print copy, which includes it, read the whole chapter. Everyone can read the free sample, pages 1 to 24 of the e-book.
In this chapter
- 21.1Audits in a bankp. 283
- 21.2Risk-based internal auditp. 284
- 21.3Reporting and disclosurep. 285
- 21.4Finding and scoring compliance riskp. 286
- 21.5Independent testing and credit auditp. 287
- Exam traps and quick checksp. 288
- Practice: 16 questions in three roundsp. 289
- Answers, with every wrong option explainedp. 291
- Make it stickp. 293
- Chapter 21 on one pagep. 294
Corrections and updates
None for this chapter so far. Every correction to the book, and any rule that changes after its date, is listed on the errata page.