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METHOD AND SYSTEM FOR ASSESSING COMPLIANCE RISK OF FINANCIAL INSTITUTIONS
METHOD AND SYSTEM FOR ASSESSING COMPLIANCE RISK OF FINANCIAL INSTITUTIONS
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机译：评估金融机构合规风险的方法和系统
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摘要
A system and method for assessing compliance risk of a financial institution. Data on a plurality of financial institutions is extracted from publicly available sources and stored in an extracted information database. A client questionnaire is created and separated into a plurality of role categories. A list of employees and their area of responsibility is obtained from a client financial institution. The client questionnaire is distributed to the employees, each employee receiving questions from a role category based on their area of responsibility. Answers are stored in a client questionnaire database. Data on the client financial institution is located in the extracted information database. Then, based on the questionnaire answers and extracted data, the risk that the client financial institution will not be compliant with a set of regulations is assessed.
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