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Acknowledgments

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Book writing is a challenging expedition with demands not only on the author in terms of vision, fortitude, and persistence but also on others who support and guide the initiative. I would like to express my gratitude to the amazing people and organizations that have made this expedition a great learning and sharing experience. The credit for seeding the thought of writing a book goes to Nick Wallwork of John Wiley & Sons, who casually asked if I would consider writing a book for them, almost as if he knew I could and would. Thanks, Nick.

A very special acknowledgment goes to Srikar Gullapalli for making this book possible by being such an incredible motivator, critic, collaborator and editor all rolled into one. My gratitude to my anchor and life partner, Sh. Ramakrishna Gullapalli, for keeping me on course with his encouragement at every step. Thank you Sravani Gullapalli, for powering my effort with your infectious energy, optimism, and encouragement. Sudhir Pisipati, my confidant, and the family – thank you for creating and reinforcing the positive energy circle around me. I offer my respectful tribute to my mother, Smt. Suguna Pisipati, for supporting and celebrating all my achievements, big or small.

My appreciation and sincere thanks go to the senior practitioners, Dr. Colin Lawrence, Tsuyoshi Oyama, Dr. Ranee Jayamaha, Benjamin Frank, and Peter Hill. Each of these experts have, in their own way, added to the industry's dialogue. I am grateful for their Practitioner's Notes that prefix the five parts of this book. All of these industry veterans have readily agreed to share their distilled wisdom and bring to bear their real-life experiences through these notes. My thanks also go to K. S. Gopal, head of the Regulatory desk of ING-Vysya bank for being part of many animated conversations on the subject. Thanks are due to the regulatory bodies for creating a learning ecosystem through their websites by sharing industry information in an open and transparent manner.

I wish to place on record my gratitude to my organization, Oracle Financial Services Software Limited, and thanks to Stuart Houston for encouragement and support. In the 15 years of my association with Oracle, the information company, I have learned to truly appreciate the critical role technology plays in enabling businesses to build a robust, active, positive risk and compliance program.

A special note of thanks to the team at Wiley – Jeremy Chia, my development editor; the editorial team; and the entire production team. There are many others who have added to my learning canvas whom I need to thank: bankers, regulators, consultants, IT professionals, self-regulatory body representatives, financial services industry association members, friends, colleagues, and customers with whom and through whom I have seen, learned about, appreciated, and loved this industry.

Enterprise Compliance Risk Management

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