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Compliance Management in Financial Industries - A Model-based Business Process and Reporting Perspective
of: Mathias Eggert
Springer-Verlag, 2014
ISBN: 9783319039138 , 96 Pages
Format: PDF, Read online
Copy protection: DRM
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Compliance Management in Financial Industries - A Model-based Business Process and Reporting Perspective
Foreword
5
Acknowledgments
6
Contents
8
Abbreviations
10
1 Introduction
12
1.1…Motivation
12
1.2…Research Questions
14
1.3…Book Structure
15
2 Research Background
17
2.1…Compliance Management and Regulatory Requirements
17
2.2…Regulatory Environment of Banks
19
2.2.1 Regulatory Business Process Requirements
19
2.2.2 Supervisory Reporting Requirements
20
2.3…Business Process Modeling
22
2.4…Business Process Compliance Analysis
23
2.4.1 Requirements for Compliance Checking Approaches
24
2.4.2 Design-Time Compliance Checking
24
2.4.3 Run-Time Compliance Checking Approaches
26
2.4.4 Backward Compliance Checking
26
2.5…Data Warehouse Development
27
2.5.1 Data Warehouse Concepts
27
2.5.2 Data Warehouse Development Process
28
2.6…Multisensory Law and Legal Visualization
30
2.7…Regulatory Requirements Engineering
31
3 Research Design
33
3.1…Design Science Research
33
3.2…Complementary Research Methods
35
3.3…Research Process and Outcome
38
3.3.1 Compliance Management and Information Systems
38
3.3.2 Business Process Compliance
38
3.3.3 Reporting Compliance
39
3.3.4 Collaboration of IS and Legal Experts
39
4 Research Results
41
4.1…Compliance Management and Information Systems
41
4.1.1 Framework for Model-Based Compliance Management
43
4.2…Business Process Compliance
44
4.2.1 State-of-the-Art
45
4.2.2 Model-Based Business Process Compliance Analysis Approach
47
4.2.3 Evaluation Method for Business Process Compliance Analysis Approaches
54
4.2.4 Relevance and Acceptance of the Developed Compliance Checking Approach
56
4.3…Reporting Compliance
59
4.3.1 Challenges of Regulatory Reporting Requirements for Conceptual Modeling
60
4.3.2 Development of a Modeling Technique for Regulatory Reporting Requirements
62
4.3.3 Modeling Tool for Regulatory Reporting Requirements
70
4.3.4 Application
74
4.4…Collaboration of IS Experts and Legal Experts
77
4.4.1 Relationship of IS and Law from a Practical Perspective
78
4.4.2 Relationship of IS and Law from an IS Research Perspective
80
4.4.3 Research Portal
82
5 Discussion and Outlook
84
5.1…Contributions to Research and Practice
84
5.1.1 Identification of the Influence of Regulation on IS Design (RQ1)
84
5.1.2 Improving the Efficiency and Effectiveness of Business Process Compliance Checking (RQ2)
86
5.1.3 Improving the Effectiveness and Efficiency of Conceptualizing Regulatory Reporting Requirements (RQ3)
87
5.1.4 Conceptualizing and Supporting the Collaboration of IS and Legal Experts (RQ4)
89
5.2…Limitations
90
5.3…Outlook
91
References
94
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