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Dissertations / Theses on the topic 'Compliance-risks'

Author: Grafiati

Published: 30 May 2022

Last updated: 31 July 2025

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1

Teichmann, Fabian, and Marie-Christin Falker. "Compliance risks of Blockchain technology, decentralized cryptocurrencies, and stablecoins." Universität Leipzig, 2020. https://ul.qucosa.de/id/qucosa%3A72845.

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With the rise of digitalization, myriad new technologies are currently revolutionizing most, if not all, markets. One such technology that is receiving particular attention from businesses, private market participants, the financial sector, and governments alike is the blockchain. Despite its increasing popularity, most jurisdictions currently fail to adequately regulate it, meaning that businesses cannot exploit the full potential of blockchain technology and its various applications. This article explains how blockchains function and delineates their associated compliance risks. Here, partic

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2

Enríquez, Luis. "Personal data breaches : towards a deep integration between information security risks and GDPR compliance risks." Electronic Thesis or Diss., Université de Lille (2022-....), 2024. http://www.theses.fr/2024ULILD016.

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La sécurité de l'information est étroitement liée au droit de protection des données, car une mise en œuvre inefficace de la sécurité peut entraîner des violations de données à caractère personnel. Le RGPD repose sur la gestion de risques pour la protection des droits et libertés des personnes concernées, ce qui signifie que la gestion de risques est le mécanisme de protection des droits fondamentaux. Cependant, l'état de l'art en matière de gestion des risques liés à la sécurité de l'information et de gestion des risques juridiques sont encore immatures. Malheureusement, l'état actuel de l'ar

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3

Nottage, Cassandra. "Compliance Strategies to Reduce the Risks of Money Laundering and Terrorist Financing." ScholarWorks, 2018. https://scholarworks.waldenu.edu/dissertations/5917.

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Ineffective compliance programs expose banking and trust companies to increased risk of money laundering (ML) and terrorist financing (TF). Using risk management theory, the purpose of this multiple case study was to explore compliance strategies that Bahamian bank and trust company managers use to reduce ML/TF risks. Study participants comprised 7 senior risk and compliance managers experienced in risk strategy development and implementation. Semistructured interview data were triangulated with data collected from internal policy and procedural documents, publicly available papers of the Fina

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Schönborn, Elias. "Anti-corruption compliance in times of the Covid-19 pandemic: Criminal law risks and incentives for compliance-management-systems in the healthcare sector." Universität Leipzig, 2021. https://ul.qucosa.de/id/qucosa%3A74480.

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In addition to a global endurance test for the health system, the Corona pandemic triggered a tremendous social and economic crisis. Health professionals as well as politicians and business managers have to make decisions with considerable consequences under great time pressure. In this context, numerous international organizations - including Transparency International, GRECO and IACA - point out that the Corona crisis can be a breeding ground not only for conflicts of interest, but also for corruption. Even though quick decisions have to be made at present, it is clear that the strict prohib

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Busolo, Joy. "Can trade effluent charges promote compliance and address water security risks in Nairobi’s manufacturing industries?" Master's thesis, Faculty of Commerce, 2019. http://hdl.handle.net/11427/30435.

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This research assessed whether trade effluent charges could promote compliance and address water security risks in manufacturing industries in Nairobi. This is due to the burden of effluent management that Nairobi City Water and Sewerage Company (NCWSC), the largest water supply and sewerage Company in Nairobi, has been having in the management of effluent water despite the existence of comprehensive effluent discharge regulations. The research therefore assessed the water security risks faced by manufacturing companies and assessed the compliance rates of manufacturing companies with effluent

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Жук, І. П., Костянтин Олександрович Дядюра, Константин Александрович Дядюра та Kostiantyn Oleksandrovych Diadiura. "Управління відповідністю за стандартами ISO/DIS 19600:2014 та ISO 55000:2014". Thesis, Сумський державний університет, 2015. http://essuir.sumdu.edu.ua/handle/123456789/39741.

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Відповідність нормам – одне з найважливіших питань сучасного бізнесу, який характеризується схожою діяльністю, продукцією або послугами і пов'язаними з ними аспектами навколишнього середовища. Відсутність адекватних інструментів управління та організаційної культури може призвести до втрат через невідповідність вимогам. Основною метою забезпечення відповідності є гарантія того, що компанії виконують свої зобов'язання і ефективно управляють ризиками для своєї репутації.

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7

Irowarisima, Macdonald. "Devising a legal framework for environmental liability and regulation for mitigating risks of shale gas extraction." Thesis, University of Dundee, 2019. https://discovery.dundee.ac.uk/en/studentTheses/efb47565-0d70-4e69-b26f-877900e878d0.

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The safe extraction of shale gas resources has become a controversial issue in the energy sector and within energy law and policy circle. These issues have transcended to other areas of the society such as the environment, public health, and geopolitics. In fact, in environmental issue and regulation, it has become a norm in the minds of many that finding a model individual to do the right thing is a onerous task. One solution to this problem currently would be to realise the benefits energy resource extraction presents by devising the right regulatory strategies to improve the compliance leve

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8

Miyoshi, Roberto Kazuo. "Riscos de conformidade tributária: um estudo de caso no estado de São Paulo." Universidade de São Paulo, 2011. http://www.teses.usp.br/teses/disponiveis/96/96133/tde-18012012-103321/.

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Nesta pesquisa foram analisados os riscos tributários relacionados à conformidade tributária paulista concernente ao ICMS. Para obter dados em profundidade com vistas a alcançar o objetivo da pesquisa, utilizou-se de um estudo de caso de uma indústria que implantou um gerenciamento de riscos tributários, até então inexistente. Através de entrevistas e observações realizadas no ambiente da empresa, foi possível delinear os processos e procedimentos pertinentes ao ICMS paulista, e socorrendo-se à metodologia sugerida pelo Committee of Sponsoring Organization of the Treadway Commission (COSO) par

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Amantea, Ilaria Angela <1988&gt. "Methods and tools for analysis and management of risks and regulatory compliance in the healthcare sector: the hospital at home – HaH." Doctoral thesis, Alma Mater Studiorum - Università di Bologna, 2022. http://amsdottorato.unibo.it/10066/1/Tesi_frontespizio_Bologna.pdf.

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Changing or creating an organisation means creating a new process. Each process involves many risks that need to be identified and managed. The main risks considered here are procedural and legal risks. The former are related to the risks of errors that may occur during processes, while the latter are related to the compliance of processes with regulations. Managing the risks implies proposing changes to the processes that allow the desired result: an optimised process. In order to manage a company and optimise it in the best possible way, not only should the organisational aspect, risk manag

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10

Alonso, Paulo Henrique Briante. "A lei anticorrupção (nº 12.846): uma proposta de ações de baixo custo de implantação no ambiente das pequenas e médias empresas brasileiras." Universidade Presbiteriana Mackenzie, 2015. http://tede.mackenzie.br/jspui/handle/tede/969.

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Made available in DSpace on 2016-03-15T19:32:56Z (GMT). No. of bitstreams: 1 Paulo Henrique Briante Alonsoprot.pdf: 1662266 bytes, checksum: b539b30ce01e1243f6ad6b3c22aed5fc (MD5) Previous issue date: 2015-07-29<br>The main objective is to provide small and medium-sized Brazilian enterprises (SMEs) a package of feasible tools that are also mitigating business risks and to collaborate with the development and prosperity of this business niche. The study presents the tools that have the best insight in the degree of importance and that would be easier deployment. We cannot forget that these co

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11

Fournier, Tristan. "Une sociologie de la décision alimentaire : l'observance diététique chez des mangeurs hypercholesterolémiques." Thesis, Toulouse 2, 2011. http://www.theses.fr/2011TOU20033.

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Cette thèse tente d’apporter, en la sociologisant, des éléments de réponse à une question émanant du monde médical : pourquoi des individus atteints d’hypercholestérolémie et donc surexposés à des risques cardio-vasculaires ne mettent-ils pas en application les conseils diététiques formulés par leur médecin ? Trois phases d’enquête ont été menées : 1) des entretiens d’experts, dans le but d’identifier les controverses qui ont transformé l’hypercholestérolémie en un problème de santé publique majeur ; 2) des entretiens individuels et collectifs auprès de « mangeurs à risques », afin de saisir l

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12

Sikorska, Małgorzata, Somosi Mariann Veres, and P. G. Pererva. "Compliance: essence and definition." Thesis, Кременчуцький національний університет ім. Михайла Остроградського, 2017. http://repository.kpi.kharkov.ua/handle/KhPI-Press/33719.

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Compliance refers to the part of the management / control system in the organization that is associated with the risks of non-compliance, non-compliance with the requirements of legislation, regulatory documents, rules and standards of supervisory bodies, industry associations and self-regulatory organizations, codes of conduct, etc. Such risks of nonconformity can ultimately be manifested in the form of applying legal sanctions or regulatory sanctions, financial or reputation losses as a result of non-compliance with laws, generally accepted rules and standards.

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13

Кобєлєва, Тетяна Олександрівна. "Організаційно-економічний механізм забезпечення комплаєнс-безпеки промислового підприємства". Thesis, Національний технічний університет "Харківський політехнічний інститут", 2020. http://repository.kpi.kharkov.ua/handle/KhPI-Press/48359.

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Дисертація на здобуття наукового ступеня доктора економічних наук за спеціальністю 08.00.04 – економіка та управління підприємствами (за видами економічної діяльності). – Національний технічний університет "Харківський політехнічний інститут", Харків, 2020. Дисертаційна робота присвячена розробленню та науковому обґрунтуванню концептуальних положень, теоретико-методологічних засад, методичних підходів та практичних рекомендацій щодо розробки організаційно-економічного механізму забезпечення комплаєнс-безпеки промислового підприємства. Проаналізовано сучасний стан та перспективи змін комплаєнс-

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14

Кобєлєва, Тетяна Олександрівна. "Організаційно-економічний механізм забезпечення комплаєнс-безпеки промислового підприємства". Thesis, Національний технічний університет "Харківський політехнічний інститут", 2020. http://repository.kpi.kharkov.ua/handle/KhPI-Press/48483.

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Дисертаційна робота присвячена розробленню та науковому обґрунтуванню концептуальних положень, теоретико-методологічних засад, методичних підходів та практичних рекомендацій щодо розробки організаційно-економічного механізму забезпечення комплаєнс-безпеки промислового підприємства. У дисертації розглянуто теоретико-методологічне підгрунття концепції «комплаєнс» та можливості її використання для підвищення рівня забезпечення економічної безпеки промислових підприємств. Розглянуто, систематизовано та удосконалено формулювання понять «економічна безпека», «комплаєнс», «комплаєнс-контроль», «комп

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15

Kanee, Emmanuel Lah. "Strategies to Manage Transfer Pricing Risks." ScholarWorks, 2019. https://scholarworks.waldenu.edu/dissertations/7812.

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Transfer pricing compliance related issues continue to pose challenges to leaders of multinational entities (MNEs) and tax regulators. MNE leaders strive to mitigate the risks of non-compliance violations and double taxation, while tax regulators seek to minimize profit shifting and revenue losses. This multiple case study explored strategies for managing transfer pricing risks against the backdrop of various risks MNE leaders face for non-compliance violations. The cost contribution agreement theory served as the conceptual framework for this study. Data were collected from organizational doc

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16

Jorzig, Alexandra. "Liability risks of the use of digital techniques." Universität Leipzig, 2019. https://ul.qucosa.de/id/qucosa%3A33902.

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New technologies not only present new opportunities but also new legal challenges. However, it could be expected that the use of robotics and AI will steadily increase over the next few years. Liability considerations are therefore urgently required.

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17

Lopes, Maria de Fátima Gomes. "Uma análise qualitativa ao fenómeno da economia paralela." Master's thesis, Instituto Superior de Economia e Gestão, 2019. http://hdl.handle.net/10400.5/21156.

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Mestrado em Gestão de Projetos<br>Na gestão de projetos existe a consciência em calcular e avaliar o risco em todas as suas fases do ciclo para diminuir o erro. Perceber a existência do risco, analisá-lo e minimizá-lo são processos da gestão do risco que se encontram presente em todas as situações no dia a dia. O presente estudo tem como objetivo analisar a perceção que os contribuintes singulares comuns e de profissionais ligados a diversas áreas (com base em Vicente, 2017), residentes em Portugal, possuem acerca dos pagamentos com “dinheiro na mão”. Este trabalho é, empiricamente, constituí

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18

Tsobgni, Djoumetio Nathalie Laure. "Les banques et la mise en oeuvre du dispositif de lutte contre le blanchiment des capitaux au Cameroun et en France." Thesis, Strasbourg, 2015. http://www.theses.fr/2015STRAA018/document.

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La préservation de la bonne santé du secteur bancaire a toujours été au cœur des préoccupations de la profession bancaire mondiale. La lutte contre le blanchiment des capitaux constitue un moyen pour les banquiers de préserver cette santé. En effet, les banques camerounaises et françaises bien qu’assujetties à la lutte contre le blanchiment des capitaux, ont plus d’un intérêt à mettre en œuvre le dispositif préventif anti-blanchiment. D’une part, au niveau organisationnel, les banques camerounaises et françaises se sont dotées d’un service anti-blanchiment et de dispositifs informatiques qui v

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19

Saleh, Mohamed S. M. "Analysis of Information Security Risks and Protection Management Requirements for Enterprise Networks." Thesis, University of Bradford, 2011. http://hdl.handle.net/10454/5414.

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With widespread of harmful attacks against enterprises¿ electronic services, information security readiness of these enterprises is becoming of increasing importance for establishing the required safe environment for such services. Various approaches are proposed to manage enterprise information security risks and to assess its information security readiness. These approaches are, however, not adequate to manage information security risks, as all required information security components of its structural and procedural dimensions have not considered. In addition, current assessment approaches

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20

Saleh, Mohamed Saad Morsy. "Analysis of information security risks and protection management requirements for enterprise networks." Thesis, University of Bradford, 2011. http://hdl.handle.net/10454/5414.

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With widespread of harmful attacks against enterprises' electronic services, information security readiness of these enterprises is becoming of increasing importance for establishing the required safe environment for such services. Various approaches are proposed to manage enterprise information security risks and to assess its information security readiness. These approaches are, however, not adequate to manage information security risks, as all required information security components of its structural and procedural dimensions have not considered. In addition, current assessment approaches

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21

Sikorska, Małgorzata, Somosi Mariann Veres, and P. G. Pererva. "Compliance-risks." Thesis, 2017. http://repository.kpi.kharkov.ua/handle/KhPI-Press/34186.

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Compliance-risk is an intermediate element of two concepts - the probability of occurrence of losses appears due to non-compliance by the organization and its employees with the requirements of legislation, regulatory legal acts of the authorized body, internal documents regulating the procedure for rendering services and conducting operations in the financial market, as well as legislation of foreign states that exert influence on the company's activities and is minimized with the qualitative construction of the compliance system.

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22

Kocziszky, György, Somosi Mariann Veres, and P. G. Pererva. "Anti-corruption compliance in the enterprise's program." Thesis, 2017. http://repository.kpi.kharkov.ua/handle/KhPI-Press/34182.

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A company should make a detailed analysis of the market subjects, consider theoretical and practical aspects of organizing sale and retail trade, create an up-to date package of sale-activating programs. The company’s marketing department should carry out the following tasks: working with established customers and attracting new ones, organizing execution of orders and deliveries, collecting payment for the supplied products in the shortest possible time and many others.

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23

HUNG, TZU-CHING, and 洪子晴. "Case Management Compliance to Fall Risks and Fall-Prevented Health Beliefs for Keelung Community Elders." Thesis, 2016. http://ndltd.ncl.edu.tw/handle/88086012793756084197.

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碩士<br>國防醫學院<br>公共衛生學研究所<br>104<br>Purpose: Fall is one of the health problems in the elders, series of studies against fall prevention evaluating fall risk assessment and intervention. Instead of the effectiveness of fall prevention program, the concern of preventing falls and compliance must be worthy to investigate. Thus, the purpose of this study was to explore the opinion of fall prevention and compliant related factors in elders. Methods: Community elders aged 65+ years as participants, use the 50th percentile=0.75 classified to higher and lower compliance. Outcomes included the compliant

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24

Lee, JinKyu. "Three essays on e-public services and information assurance Risks, beliefs, preferences, and user acceptance in the context of compliance and anti/counter-terrorism services /." 2007. http://proquest.umi.com/pqdweb?did=1331403501&sid=3&Fmt=2&clientId=39334&RQT=309&VName=PQD.

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Thesis (Ph.D.)--State University of New York at Buffalo, 2007.<br>Title from PDF title page (viewed on Nov. 14, 2007) Available through UMI ProQuest Digital Dissertations. Thesis adviser: Rao, H. Raghav. Includes bibliographical references.

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Daniels, Adam S. "Parent and child perceptions of risks and benefits of orthodontic treatment, treatment motivation, and cooperation : a cross sectional analysis a thesis submitted in partial fulfillment ... for the degree of Master of Science in Orthodontics ... /." 2006. http://catalog.hathitrust.org/api/volumes/oclc/67878526.html.

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