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Compliance white papers

Found  164 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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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: + 3

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: + 10

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: + 5

GRC Maturity: From Disorganized to Integrated Risk and Performance

Company: IBM Business Analytics

Success in today’s dynamic business environment requires organizations to integrate, build and support business processes with an enterprise view of governance, risk management and compliance (GRC). Without an integrated view of risk and compliance, the scattered and nonintegrated approaches of the VIEW SUMMARY

Category: Compliance | Published: 15 December 2014 | Type: White Paper

Rating: + 12

Trends, Risks and Opportunities in Collateral Management in Asia

Company: DTCC

Collateral is viewed as both a solution to and a trigger of massive financial losses that occurred as a result of the financial crisis of 2008. In response, Asian policymakers introduced new rules and legislation, such as the amendments to the Financial Instruments and Exchange Act in Japan, as well VIEW SUMMARY

Category: Compliance | Published: 11 December 2014 | Type: White Paper

Rating: + 4

Trading in FX an Equinix Series Part Two: Innovations and Trends

Company: Equinix, Inc.

This second part looks look at some of the latest innovations and trends in the market and how firms are capitalizing on technology to give themselves and their customers a competitive advantage. VIEW SUMMARY

Category: Foreign Exchange | Published: 04 December 2014 | Type: White Paper

Rating: + 2

Integrating Risk into Pre-Trade Analysis: Practical Ways of Bringing Credit, Liquidity, Funding and Regulatory Costs into an Integrated Profitability Framework

Company: Numerix LLC

As regulations in the derivatives market continue to be rolled out and implemented, financial institutions face growing pressure on their current business models. To survive and thrive VIEW SUMMARY

Category: Credit Derivatives | Published: 26 November 2014 | Type: White Paper

Rating: + 7

Optimizing the Capital Ratio under Basel III

Company: Moody's Analytics

Basel III stresses the integration between liquidity and credit risk, and the need to manage both from an enterprise-wide risk-management context. This demands a new enterprise-wide organization of tasks, processes, and calculation infrastructure, specifically in terms of systems VIEW SUMMARY

Category: Basel III | Published: 13 November 2014 | Type: White Paper

Rating: + 9

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