The document discusses thematic compliance review mechanisms. It describes assessing emerging and prevalent risks, identifying stakeholders, conducting self-evaluations and benchmarking against peers. Key aspects of thematic compliance include regulatory surveillance, monitoring asset pools, financial promotions management, and market trends analysis. Metrics like stressed pool performance, unencumbered assets, and sustainable liquidity management are analyzed. Governance focuses on cybersecurity, collateral management, due diligence, risk profiling, and enterprise risk management.

1. Thematic Compliance

2. Thematic Compliance Review
Mechanism
 Assessment of Emerging and Prevalent Risks
 Potential Solutions towards Risk Alleviation
 Identification of Internal and External
Stakeholders
 Self-Evaluation Analysis
 BenchMarking towards Comparative Analysis
against Peer Group and Sectors

3. Constituents of Thematic Compliance
 Rudimental Tenets Compliance
 Off Site Regulatory Surveillance Review
 On Site Regulatory Surveillance Review
 Asset Pool Monitor
 Financial Promotions Compliance Management
 Investor Protection Framework Deployment
 Market Trends Analysis
 Rating Assessment Methodology

4. Management Information of
Compliance Regimes
Stressed Pool
Performance
Unencumbered
Assets
Compliance
Qualitative
Synthesis
Sustainable
Liquidity
Management
Mechanism
Renewals
Communications

5. Tort Liability
TortFeasor be liable towards Non-Compliance
incurred within the Control Spectrum including:
 Occupational Safety and Health Compliance
 Worker’s Compensation System Compliance
 Civil Litigation
 Violation of Statutes
 Medical Malpractice

6. Governance and Ethos
• Cyber Security Laterals
• Collateral Management
Compensating
Controls
• Due Diligence Matrix
• Concentration of Customer Base
Anti-Money
Laundering
Controls
• Holistic Enterprise Risk
Management
• Risk Profiling
• Thresholds and Variants
Risk
Management