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Compliance white papers

Found  244 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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Data integrity for MiFID II

Company: Gresham

This white paper explores the differences between the orignal MiFID I and the new MiFID II; the challenges financial institutions will face; and who is responsible for trade reporting under the new regulation VIEW SUMMARY

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

Rating: + 5

‘Finalized,’ but Far from the Finish Line – Preparing for the Next Evolution of FRTB

Company: Numerix LLC

This white paper breaks down the requirements, methodologies and formulas relating to the 'final' FRTB text. It further provides a more simplified understanding of the potential IT challenges and costs ahead. VIEW SUMMARY

Category: Regulation | Published: 23 May 2016 | Type: White Paper

Rating: + 1

Breaking down IFRS 9 implementation

Company: Wolters Kluwer

This white paper addresses the common technical and operational issues involved in IFRS 9 projects and solutions implementation, outlining areas of best practice and common pitfalls that should be avoided. VIEW SUMMARY

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

Rating: + 4

Regulatory Information Brief: MiFID II - Trade Supervision: First Defence

Company: Nasdaq

This white paper explores what is involved in implementing new regulations and how the front office will need to adapt in response to the changes. VIEW SUMMARY

Category: MiFiD | Published: 16 May 2016 | Type: White Paper

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: + 2

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: + 6

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: + 4

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: + 7

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: + 5

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: + 10

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