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Regulation white papers

Found  230 white papers and resources

Regulation underpins the practices and procedures of every single activity undertaken by the banking and finance communities: from what information needs to be contained in a disclosure document through to what constitutes bribery.

Regulation is increasingly in focus, as the world’s governments struggle to bring us all back to financial stability.

Below you will find law and regulation white papers that will show you the latest developments and what you need to do so your organisation stays within the law.

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Global Anti-Money Laundering Survey 2014

Company: KPMG

It is 10 years since we released our first Global Anti-Money Laundering (AML) survey. During those 10 years, financial institutions have ridden the highs, and plunged to the lows, of the economic cycle. Despite these dramatic changes in the business environment, AML has remained a key focus area VIEW SUMMARY

Category: Compliance | Published: 09 July 2014 | Type: White Paper

Rating: + 4

Cross-border investigations: Are you prepared for the challenge?

Company: KPMG

Conducting cross-border investigations is no simple endeavor. Add the complexities of legal and cultural differences, and you have arguably one of the biggest challenges facing global corporations today. There are obstacles at every step of a cross-border investigation, including initially receiving VIEW SUMMARY

Category: Operational Risk | Published: 01 July 2014 | Type: White Paper

Rating: + 3

Live Webinar: Incorporating model risk management as a core discipline

Company: IBM Business Analytics

Free Live webinar: Tuesday 8th July 2014 at 3pm BST - Today, model risk management has become a major issue for financial institutions. These organizations increasingly depend on models to estimate risk, inform decision-making, to drive operations and strategy, and to set their future direction. As VIEW SUMMARY

Category: Market Risk | Published: 30 June 2014 | Type: Webinar

Rating: + 4

Key risk data aggregation architecture required for Basel III compliance

Company: Asset Control

Representing a sea-change for the financial sector, The BaselCommittee on Banking Supervision (BCBS) has focused on strengthening risk data aggregation and reporting capabilities at key financial institutions. The resulting paper, Principles for effective risk data aggregation and risk reporting VIEW SUMMARY

Category: Basel III | Published: 26 June 2014 | Type: White Paper

Rating: + 9

Over the horizon: General Counsel Report 2014

Company: KPMG

In 2012, KPMG International published Beyond the Law, a global study of how General Counsel (GC) are turning risk to advantage, based on a survey of GCs around the world. This 2014 analysis Over the horizon explores more fully some of the themes that emerged from the 2012 survey to show how GC are VIEW SUMMARY

Category: Operational Risk | Published: 23 June 2014 | Type: White Paper

Rating: + 2

Risk Neutral Modeling for Economic Scenario Generation: In Theory and Practice

Company: Numerix LLC

This white paper explores the theory behind and practice surrounding Risk Neutral Modeling for Economic Scenario Generation (ESG). In addition to laying out the foundations of the Risk VIEW SUMMARY

Category: Solvency II | Published: 19 June 2014 | Type: White Paper

Rating: + 2

ORSA and Enterprise Risk Management

Company: Thomson Reuters

This whitepaper focuses on enterprise risk management as the foundation for regulatory compliance and strategic business decision making. For insurance organizations that are required by regulators to implement an ORSA program, it also provides a framework and the processes that will produce a VIEW SUMMARY

Category: Enterprise Risk Management | Published: 18 June 2014 | Type: White Paper

Rating: + 5

The Quest to Stop the Creative Rule Breakers

Company: Thomson Reuters

This whitepaper highlights how research findings have identified forms and patterns of rule-breaking behavior in the financial markets. The paper also considers the darker side of recent findings, some of the games of compliance noted by researchers, and looks at a few common behavioral effects VIEW SUMMARY

Category: Compliance | Published: 09 June 2014 | Type: White Paper

Rating: + 5

Practical considerations for ORSA modelling

Company: IBM Business Analytics

This paper outlines three key areas of the ORSA requirements, for which we observe a need for further improvement to actuarial modelling techniques. The ORSA guidance establishes that an ORSA report should contain analysis that includes: VIEW SUMMARY

Category: Solvency II | Published: 02 June 2014 | Type: White Paper

Rating: + 4

Global Conduct Risk Report

Company: Thomson Reuters

To support the financial services industry in its management of conduct risk, and enable firms to benchmark their own practices against global peers, Thomson Reuters has undertaken its first survey dedicated to finding out how the industry is defining and dealing with conduct risk. The responses VIEW SUMMARY

Category: Operational Risk | Published: 27 May 2014 | Type: White Paper

Rating: + 10

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