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Compliance white papers

Found  165 white papers and resources

Risk Library hosts a number of compliance white papers and analysis reports by leading experts. Use the information resource for the latest industry developments and to ensure that your organisation meets all financial regulatory requirements.

Compliance means conforming to a set of best practice controls set by the organisation or externally, by governments and non-governmental bodies. They are enforced usually through management processes that identify, assess and initiate relevant corrective action each time these laws, policies, regulations, contracts or strategies are broken.

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Expectations of Risk Management Outpacing Capabilities – It’s Time For Action

Company: KPMG

Risk management is at the top of the global executive agenda as companies face an array of threats that grow more complex VIEW SUMMARY

Category: Operational Risk | Published: 04 March 2015 | Type: White Paper

Rating: + 17

Legal Risk Benchmarking Survey: Results and Analysis

Company: Berwin Leighton Paisner

In 2003 the Basle Capital Accord set the challenge to Financial Institutions: to create systems and controls that will contribute to the management of ‘the legal aspects of operational risk’ (legal risk). But although Financial Services dominate this area, legal risk is an issue across all sectors. VIEW SUMMARY

Category: Operational Risk | Published: 12 February 2015 | Type: White Paper

Rating: + 9

Selecting the right cybercrime-prevention solution

Company: IBM United Kingdom Limited

This white paper discusses key considerations and best practices to help organizations achieve effective and sustainable cybercrime prevention. VIEW SUMMARY

Category: Compliance | Published: 09 February 2015 | Type: White Paper

Rating: + 3

Meeting FFIEC guidance and cutting costs with automated fraud prevention

Company: IBM United Kingdom Limited

This white paper will discuss how organizations can achieve effective and sustainable online banking fraud prevention in accordance with FFIEC guidelines using the IBM Security cybercrime prevention architecture. VIEW SUMMARY

Category: Compliance | Published: 04 February 2015 | Type: White Paper

Rating: + 2

Holistic fraud prevention: transforming the customers’ experience

Company: IBM United Kingdom Limited

Financial institutions are on a perpetual quest to improve VIEW SUMMARY

Category: Compliance | Published: 29 January 2015 | Type: White Paper

Rating: + 2

The Legal Risk Challenge Widens

Company: Berwin Leighton Paisner

In-house counsels tasked with managing legal risk have interesting times ahead. The new European Banking Authority rules may strain resources, and force a review of legal-risk categories and risk models. VIEW SUMMARY

Category: Compliance | Published: 22 January 2015 | Type: White Paper

Rating: + 6

Unlocking FATCA and CRS

Company: AutoRek

At the end of October 2014, the UK and 50 other countries from the Organisation for Economic Co-operation and Development (OECD) signed up to the Common Reporting Standard (CRS). VIEW SUMMARY

Category: Compliance | Published: 07 January 2015 | Type: White Paper

Rating: + 5

PS14/9 custody assets & client money: 1 December 2014 and beyond

Company: AutoRek

Following the publication on 10 June 2014 by the Financial Conduct Authority (FCA) of policy statement 14/9 (PS14/9), the second stage of the client assets (CASS) rules will come into force on 1 December 2014. VIEW SUMMARY

Category: Compliance | Published: 06 January 2015 | Type: White Paper

Rating: + 2

The Basel Committee’s BCBS239 principles: A Single Source of Truth

Company: AutoRek

The Basel Committee’s BCBS239 principles, also known as PERDARR (Principles for Effective Risk Data Aggregation and Risk Reporting), comes in to force from 1 January 2016. VIEW SUMMARY

Category: Basel III | Published: 05 January 2015 | Type: White Paper

Rating: + 19

Tackling the growing risk of cyber crime

Company: Zurich

The risk of cyber-attacks on financial institutions is highly topical but not a new issue. However, what is changing, and rapidly, is the scale, frequency and sophistication of attacks. Financial institutions rely on technology to deliver convenient internet services to customers and to operate more VIEW SUMMARY

Category: Risk Systems | Published: 15 December 2014 | Type: White Paper

Rating: + 6

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