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Compliance white papers

Found  173 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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Creating Safe and Fair Markets

Company: Aesthetic Integration Limited

In this white paper intended for the wider financial industry, we present our vision for the design and regulation of electronic financial markets empowered by formal verification. VIEW SUMMARY

Category: Compliance | Published: 17 April 2015 | Type: White Paper

Rating: + 2

A New Approach to Regulatory Compliance

Company: HCL Technologies

Since the 2008 ‘financial crisis’, regulators in virtually every jurisdiction have significantly ‘upped the ante’ in terms of levels of disclosure, granularity, trace-ability and frequency of regulatory reporting requirements. VIEW SUMMARY

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

Rating: + 2

OECD CRS: The Global Challenge for Automatic Account Reporting

Company: Software Daten Service

FATCA, and in particular the implementation via intergovernmental agreements, has triggered a global wave VIEW SUMMARY

Category: Compliance | Published: 31 March 2015 | Type: White Paper

Rating: + 2

Emerging initial margin requirements

Company: IBM Business Analytics

Ongoing market uncertainty over the new and evolving margin regime for non-cleared over-the-counter derivatives has drawn many questions from firms, with too few reliable answers. This global survey – conducted by Risk and sponsored by IBM – is one of the first, VIEW SUMMARY

Category: Credit Derivatives | Published: 26 March 2015 | Type: White Paper

Rating: + 1

Governance, risk and compliance survey 2014

Company: IBM Business Analytics

For firms wrestling with the ever-changing demands of regulation and risk management, an integrated governance, risk and compliance (GRC) solution can be a powerful ally. However, this survey of risk practitioners, conducted by Operational Risk & Regulation and sponsored by IBM, reveals that many VIEW SUMMARY

Category: Compliance | Published: 26 March 2015 | Type: White Paper

Rating: + 4

Cloud computing and Solvency II

Company: IBM Business Analytics

The computational requirements of Solvency II are driving the need for more computing power and data storage to be accessible on a scalable basis. Early adopters are leveraging cloud computing for their Solvency II implementations, while others are taking a more cautious approach, waiting for the VIEW SUMMARY

Category: Solvency II | Published: 26 March 2015 | Type: White Paper

Rating: + 2

Dynamic Stress Test Diffusion Model Considering the Credit Score Performance

Company: Chappuis Halder

This white paper proposes a methodology that diffuses dynamically the stress on the credit rating scale while considering the performance of the credit score. VIEW SUMMARY

Category: Compliance | Published: 23 March 2015 | Type: White Paper

Rating: + 11

Emerging Themes 2015 Another turbulent year for financial regulation

Company: Berwin Leighton Paisner

2015 is set to be another turbulent year for the financial services industry, especially for those working in UK banks. Few would disagree that there needs to be a significant improvement in banking standards or that bankers should be remunerated in a way that incentivises good behaviour and does VIEW SUMMARY

Category: Compliance | Published: 12 March 2015 | Type: White Paper

Rating: + 3

OpRisk & Regulation: GRC Special Report

Company: Operational Risk & Regulation

Within this special report CoreStream offer a set of considerations when implementing or refining a GRC practice (pages 4 and 5) and Oracle discuss risk/reward and big data and how it can benefit the Governance Risk and Compliance process (pages 10 and 11). VIEW SUMMARY

Category: Operational Risk | Published: 09 March 2015 | Type: White Paper

Rating: + 15

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: + 19

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