Compliance
454 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.
Free webinar: Fundamentally challenging – how banks are getting to grips with the Fundamental Review of the Trading Book.
With regulators rushing to complete their overhaul of trading book rules by year-end – and a recently launched impact study the last chance to assess and amend the framework – the industry is taking a closer look at the current proposals. Many banks are worried by what they see.
An Enterprise-Wide, Multi-Asset Class Risk-Management Solution
This white paper explores the challenges that Skandinaviska Enskilda Banken AB encountered with risk management, and how Axioma’s Risk System helped in solving these issues.
A New Approach: Assessing Data Management Practices and Current Demand for a Reference Data Utility
Solving issues relating to data quality and timeliness should be the top priority for an industry-led reference data utility, according to nearly half of the respondents to a recent WatersTechnology survey sponsored by SmartStream Technologies.
Big data to disrupt current operating models within the financial industry
The recent global financial crisis has effectively forced firms to assess internal governance procedures and adopt a wider approach to risk management. However, the backward looking nature of traditional GRC means that it is solely concerned with preventing repetition of previous failings.
Stress Testing: Putting the Pieces Together to Solve an Increasingly Intricate Puzzle
The global financial crisis and the aftermath that continues to unfold have created a justifiable obsession with stress among bankers and supervisors. The sharper focus has made stress testing a key component of the evolving global regulatory framework covering risk control and capital discipline.
The De-Risking Dilemma
Wholesale de-risking by financial institutions may seem like a viable compliance strategy when dealing with certain customers, but in the long-term may cause more harm than good.
The ideal reference data utility
This video provides an insight into a recent survey conducted in August 2015 by WatersTechnology and sponsored by SmartStream that polled reference data operations professionals about the ideal utility. The survey explored issues such as how organizations choose a reference data utility.
Strategies for migration to the cloud in financial services
This white paper explores the current state of public cloud adoption by the financial services industry, the technology challenges they face over the next few years and suggests some strategies for navigating a path through public, private and hybrid cloud.
Political corruption and the assessment of politically exposed persons
This whitepaper is designed to clarify the due diligence obligations of financial institutions and other entities, challenging assumptions about Politically Exposed Persons (PEPs) and how they should be treated.
IFRS 9 in Asia-Pacific: The road to compliance – is there still time?
Since the beginning of the year, financial institutions, as a sector, have shifted focus to the different requirements for IFRS 9. In Asia-Pacific (APAC), however, unlike Europe’s well synchronized journey to IFRS 9 compliance, Asian countries are taking many different roads to compliance.