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Compliance Management in Financial Industries

A Model-based Business Process and Reporting Perspective

  • Book
  • © 2014

Overview

Authors:
  1. Mathias Eggert

    1. Cologne, Germany

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  • Provides insights into a modeling technique and tool implementation for regulatory reporting requirements
  • Presents and evaluates an automated business process analysis approach
  • Investigates for the first time the perceived relationship between IS and Law in the context of business process management and requirements engineering
  • Includes supplementary material: sn.pub/extras

Part of the book series: SpringerBriefs in Information Systems (BRIEFSINORMAT)

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Table of contents (5 chapters)

  1. Front Matter

    Pages i-xii
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  2. Introduction

    • Mathias Eggert
    Pages 1-5

  3. Research Background

    • Mathias Eggert
    Pages 7-22

  4. Research Design

    • Mathias Eggert
    Pages 23-30

  5. Research Results

    • Mathias Eggert
    Pages 31-73

  6. Discussion and Outlook

    • Mathias Eggert
    Pages 75-84

  7. Back Matter

    Pages 85-96
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Keywords

About this book

Since the peak of the world financial crisis in 2008, compliance management has gained more and more interest from practice and research. In particular the financial service industry is strongly regulated and has to follow specific laws, standards and guidelines. Considering the steadily increasing number of legal requirements in the design of information systems is a challenge to financial service providers. This book investigates the challenges of compliance management in financial industries and provides solutions for a compliant design of information models. From a business process perspective, an approach is presented that enables the automatic checking of business process models. From a supervisory reporting perspective a modeling technique is presented that allows for modeling regulatory data warehouse requirements as well as its analysis. Besides these two perspectives the author provides insights into the perceived relationship of Information Systems and Law.

Authors and Affiliations

  • Cologne, Germany

    Mathias Eggert

About the author

Mathias Eggert is researcher at ERCIS - European Research Center for Information Systems. He received a scholarship from Siemens Business Services, Germany and worked for Siemens in Germany and Taiwan. Konrad Adenauer Foundation funded his current research work. His research is focussed on business process management and data warehouse design. Furthermore he is interested in investigating the collaboration of IS and legal experts in regulatory-driven IT projects.

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