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Compliance white papers

Found  140 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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T+2: The Catalyst for Change

Company: Trax

With the 6 October 2014 deadline for T+2 fast approaching, the industry needs to prepare. It is more than 20 years since the Industry User Group (IUG) oversaw the birth of the first vendor electronic trade confirmation (ETC) platforms. Those platforms (Thomson - OASYS Global, London Stock Exchange - VIEW SUMMARY

Category: Compliance | Published: 18 August 2014 | Type: White Paper

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: 14 August 2014 | Type: White Paper

Rating: + 6

The ORSA: How prepared are you?

Company: PricewaterhouseCooper LLP

As your company prepares for ORSA, how do you know if your perception of readiness matches reality? In the 2012 PwC ORSA readiness survey1, over 80% of insurers felt their ERM frameworks were ORSA ready, yet only 38% had Boards that were more than passively engaged in ERM/ORSA, and only 35% had VIEW SUMMARY

Category: Enterprise Risk Management | Published: 12 August 2014 | Type: White Paper

Rating: + 2

Growing with Governance, Risk and Compliance: Avoiding Common Pitfalls to Maximize GRC Solutions

Company: Protiviti

Many large organizations have recognized value in developing a holistic view of risk and compliance through the use of governance, risk and compliance (GRC) solution. Embracing GRC in this manner enables organizations to address technology risks from a business perspective through alignment of the VIEW SUMMARY

Category: Compliance | Published: 04 August 2014 | Type: White Paper

Rating: + 2

Future Trends in Optimisation Collateral, Regulatory Capital & CCP Selection

Company: 4sight Financial Software Ltd

Financial firms are currently experiencing significant regulatory and cost pressures. This is leading to a search for ways to optimize various aspects of trade types that involve some level of counterparty credit risk (derivatives, securities lending, repo). VIEW SUMMARY

Category: Compliance | Published: 01 August 2014 | Type: White Paper

Rating: + 3

Enterprise compliance: The Risk Intelligent approach

Company: Deloitte LLP

As globalization continues to take hold and government regulation broadens VIEW SUMMARY

Category: Compliance | Published: 31 July 2014 | Type: White Paper

Rating: + 4

Collateral and Financial Plumbing

Company: Risk Books

This Introduction to the newly published Collateral and Financial Plumbing provides a summary of the book, and provides an angle on the world of finance that was already in existence, but not widely understood by many finance professionals. Written by the leading authority on collateral, Manmohan VIEW SUMMARY

Category: Credit Risk | Published: 30 July 2014 | Type: White Paper

Rating: + 5

Creating Flexible Risk Reporting

Company: Broadridge Financial Solutions, Inc.

This paper looks at how investment management, reference data and risk technology can help organisations effectively function within new regulatory environments by leveraging risk systems across multiple asset classes to identity more efficient trading solutions VIEW SUMMARY

Category: Market Risk | Published: 29 July 2014 | Type: White Paper

Rating: + 3

Global Anti-Money Laundering Survey 2014

Company: KPMG

It is 10 years since we released our first Global Anti-Money Laundering (AML) survey. During those 10 years, financial institutions have ridden the highs, and plunged to the lows, of the economic cycle. Despite these dramatic changes in the business environment, AML has remained a key focus area VIEW SUMMARY

Category: Compliance | Published: 09 July 2014 | Type: White Paper

Rating: + 6

Cross-border investigations: Are you prepared for the challenge?

Company: KPMG

Conducting cross-border investigations is no simple endeavor. Add the complexities of legal and cultural differences, and you have arguably one of the biggest challenges facing global corporations today. There are obstacles at every step of a cross-border investigation, including initially receiving VIEW SUMMARY

Category: Operational Risk | Published: 01 July 2014 | Type: White Paper

Rating: + 3

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