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Compliance in Der Geldwäscheprävention: Einsatz Von Name-Matching-Systemen Bei Sanktions- Und Pep-Prüfungen in Banken
Hardcover
ISBN13: 9783658519896
Publisher: Springer Gabler
Published: Jan 26 2027
Pages: 130
Language: German
Dieses Buch fokussiert die korrekte Interpretation regulatorischer Begriffe, die Minimierung von Compliance-Risiken - insbesondere von False Negatives - sowie die Rolle externer Datenquellen wie Sanktions- und PEP-Listen und interner Bankdaten unterschiedlicher Qualität. Dargestellt werden bewährte Verfahren des unscharfen Namensabgleichs, von klassischen statistischen Methoden bis hin zu modernen semantischen Ansätzen auf Basis von LLM-Embeddings. Ergänzt wird die Darstellung durch praxisnahe und revisionstechnische Anforderungen wie Performance, Nachvollziehbarkeit, Integration in bestehende Prozesse und den Einsatz von White-Lists. Das Buch richtet sich an Banken sowie Fachleute aus Compliance, IT, Aufsicht und Revision.
Gesetzliche und regulatorische Vorgaben zur Bekämpfung von Geldwäscherei und Terrorismusfinanzierung machen den Einsatz leistungsfähiger Name-Matching-Systeme für Banken unverzichtbar. Die manuelle Prüfung von politisch exponierten Personen (PEP) und Sanktionslisten ist angesichts des Datenvolumens ineffizient und fehleranfällig. Dieses Buch beleuchtet die Schnittstellen zwischen regulatorischen Anforderungen, Informationstechnologie und effizienten Geschäftsprozessen.
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