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17 August 2015 Supervision Supervision label Good practice

In 2015, DNB assessed over 170 integrity risk analyses of banks, insurance companies, payment institutions, trust offices and pension funds. DNB found over 80% of these analyses to be deficient. In addition, there are many institutions that do not have an integrity risk analyses at all. DNB finds it worrying that this crucial part of operational management is deficient at so many institutions and has consequently decided to provide this good practices document.

The good practices document sets out the steps that financial institutions and pension funds must take in order to develop an effective integrity risk analysis. Not only is an integrity risk analysis required by law, without it institutions are unable to achieve risk-based compliance with integrity legislation. An integrity risk analysis is also a precondition for the adequate development of ethical and sound business operations.

This good practices document explains why an institution should make an integrity risk analysis, how an institution should do this, and which consequences must be attached to the analysis.

Good Practices

sector

  • Banks
  • Insurers
  • Payment institutions
  • Pension funds
  • Trust offices