Timm, Felix and Sandkuhl, Kurt (2018) A Reference Enterprise Architecture for Holistic Compliance Management in the Financial Sector. In: ICIS 2018, 13-16 December 2018, San Francisco, USA. (In Press)
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Abstract
Since the global financial crisis from 2007, an increasing number of regulatory requirements has forced financial institutions to implement a holistic and efficient approach for regulatory compliance management (RCM). The state of practice in financial institutions is characterized by various and segregated compliance programs. Research and practice identify an absence of a holistic RCM approach that captures the impact of legal requirements on financial institutions from organizational and information systems (IS) perspectives. Using a design science research (DSR) approach, we develop a reference compliance organization (R-CO) that uses enterprise architecture concepts to provide such a holistic solution. The contributions of our work are (i) a problem investigation of industrial needs, (ii) the R-CO model that proposes a solution for such needs, (iii) the application of the R-CO in two use cases, and (iv) the R-CO’s evolution during evaluation episodes according to the Framework for Evaluation in DSR (FEDS).
| Item Type: | Conference or Workshop Item (Paper) |
|---|---|
| Depositing User: | Nikola Ivanovic |
| Date Deposited: | 16 Jan 2019 09:25 |
| Last Modified: | 16 Jan 2019 09:25 |
| URI: | http://eprints.win.informatik.uni-rostock.de/id/eprint/633 |
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