Compliance
453 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.
PS14/9 custody assets & client money: 1 December 2014 and beyond
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.Many of the rules from 1 December 2014 have a 6 month transition period for existing…
GRC Maturity: From Disorganized to Integrated Risk and Performance
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…
Tackling the growing risk of cyber crime
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…
Trends, Risks and Opportunities in Collateral Management in Asia
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…
Trading in FX an Equinix Series Part Two: Innovations and Trends
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.
Integrating Risk into Pre-Trade Analysis: Practical Ways of Bringing Credit, Liquidity, Funding and Regulatory Costs into an Integrated Profitability Framework
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 thrivein this new era of derivatives trading, today’s practitioners need to adopt a more integrated and holistic approach…
Optimizing the Capital Ratio under Basel III
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 systemsintegration, data…
Learn the Fundamentals of Managing Liquidity Under US Basel III Webinar
The developments in liquidity management regulations present significant challenges to organizations covered by US Basel III. Watch this webinar, to understand: The key aspects of the U.S. Basel III liquidity regulations. The critical challenges in implementing the liquidity elements of U.S. Basel…
Adapting Financial Institutions’ Liquidity Risk Management Framework to the New Regulatory Environment
This whitepaper reviews the fundamental changes of Liquidity Risk Management under Basel III. It discusses how institutions can meet the regulatory requirements on liquidity risk management by enhancing their liquidity risk analytics, funds transfer pricing methodologies, liquidity stress testing…
Buy-side Collateral Management - Challenges and Opportunities
The current pace of regulatory change can seem overwhelming to many buy-side firms trading Derivatives. The move to central clearing of some OTC products has raised a number of new challenges around the collateral management process that buy-side firms must deal with. This paper considers the…