dcsimg

Compliance white papers

Found  240 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.

Display results per page
« Previous 1 3 22 23 24 Next »

2016 EMEA & APAC Ethics & Compliance Benchmark Report

Company: NAVEX Global

This report outlines some of the main benchmarks for ethics and compliance programs, as well as giving an insight into how to calculate and capitalise on them. VIEW SUMMARY

Category: Compliance | Published: 04 May 2016 | Type: White Paper

Rating: + 1

MiFIR Special Report

Company: London Stock Exchange Group

This white paper discusses the issues raised by MiFIR reporting and explores various challenges that financial institutions face when implementing this new regulation. The paper further provides in-depth analysis from industry experts in the form of a virtual roundtable and Q&A. VIEW SUMMARY

Category: Compliance | Published: 28 April 2016 | Type: White Paper

Rating: + 4

Regulatory Information Brief: MiFID II – Risk Requirements: Re-examining Risk

Company: Nasdaq

This white paper outlines several key articles from MiFID II, which financial institutions should examine in order to make sure they comply with the new risk requirements. VIEW SUMMARY

Category: MiFiD | Published: 25 April 2016 | Type: White Paper

Rating: + 3

Bribery and Corruption: The Essential Guide to Managing the Risks

Company: ACL

This white paper outlines the key aspects of an effective process framework for managing the risks of bribery and corrupt payments. VIEW SUMMARY

Category: Enterprise Risk Management | Published: 19 April 2016 | Type: White Paper

Rating: + 6

A Fresh Perspective: Enhancing Transaction Cost Analysis Effectiveness

Company: Markit

Having examined existing trends and attitudes to transaction cost analysis, this white paper describes how organisations can build upon current their use of this analytical tool in order to improve the investment process. VIEW SUMMARY

Category: Compliance | Published: 11 April 2016 | Type: White Paper

Rating: + 3

The Future of Collateral Management

Company: CloudMargin

This white paper focuses on the future of collateral management and examines how new regulation has significantly impacted the risks of providing collateral. VIEW SUMMARY

Category: Regulation | Published: 07 April 2016 | Type: White Paper

Rating: + 9

The 10 greatest challenges and pitfalls when designing and implementing SA-CCR

Company: Misys

This white paper explores the greatest challenges financial institutions will face when implementing SA-CCR. VIEW SUMMARY

Category: Regulation | Published: 05 April 2016 | Type: White Paper

Rating: + 7

Regulatory Information Brief: MiFID II - Trade Surveillance: Raising the bar

Company: Nasdaq

This white paper discusses the main catalysts for change in recent regulation and the implications this will have for businesses. VIEW SUMMARY

Category: MiFiD | Published: 04 April 2016 | Type: White Paper

Rating: + 1

Banking in the dark: Data control framework for the new risk era

Company: Gresham

This white paper assesses the impact of the latest directives designed to combat banking risk. The paper further provides practical advice on getting your systems compliant; operating with greater efficiency; and implementing risk controls that power innovation. VIEW SUMMARY

Category: Risk Systems | Published: 22 March 2016 | Type: White Paper

Rating: + 4

The Game Changes: 10 Essential Elements for Truly Effective Compliance Programs

Company: IBM Business Analytics

This paper outlines these game-changers and provides a roadmap with 10 essential elements to getting programs where managements and boards need and want them to be in achieving their compliance objectives. VIEW SUMMARY

Category: Compliance | Published: 17 March 2016 | Type: White Paper

Display results per page

As a member you receive free access to our constantly updated library of white papers, analyst reports, web casts and legal briefings.

  • Stay informed
  • Compare services
  • Save documents
  • Receive email alerts

As a member you receive free access to our constantly updated library of white papers, analyst reports, web casts and legal briefings.

Categories related to Compliance