Compliance white papers

Found  312 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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Potential Eurozone break-up: some questions and answers

Company: Herbert Smith Freehills LLP

In this white paper, Herbert Smith considers some of the issues which would arise if a Member State were to decide to leave the Eurozone (or, indeed, be expelled). There are a number of potential methods by which a Member State could leave the Eurozone, with different consequences. VIEW SUMMARY

Category: Compliance | Published: 30 November 2011 | Type: White Paper

Rating: + 2

Reducing fraud in the information age

Company: Detica NetReveal, Alvarez & Marsal, Rabobank

Technological advances, volatile markets and a continuing economic crisis make for fertile soil for fraud. Whether driven by need or greed, fraudsters keep the world’s financial institutions under constant pressure. It is no longer enough just to investigate fraud after it happens, companies need to VIEW SUMMARY

Category: Compliance | Published: 24 November 2011 | Type: Article

Rating: + 1

The basics of PCI compliance

Company: Qualys

This white paper reviews the basics of PCI, including who must comply, compliance requirements, validation requirements and penalties. It also examines key things to look for when selecting a PCI network testing service VIEW SUMMARY

Category: Compliance | Published: 25 October 2011 | Type: White Paper

Hedge Funds and anti-money laundering

Company: Oracle

This white paper describes how hedge funds fit in to the overall lifecycle of money laundering. Using a 3 step process in the money laundering lifecycle, Oracle Financial Services uses procedures to detect money laundering in hedge funds through link analysis, sequence matching and outlier VIEW SUMMARY

Category: Hedge Funds | Published: 03 October 2011 | Type: White Paper

Fixed income e-trading trends: The ripple effect of new financial markets regulation

Company: MarketAxess

Following the credit crisis of 2008, a wave of new financial markets regulation is in the process of being introduced. Rick McVey, chief executive officer of MarketAxess, provides an overview of these new regulations and the impact they are having on the broader markets as the world adjusts to this VIEW SUMMARY

Category: Compliance | Published: 03 October 2011 | Type: Article

Rating: + 3

The Independent Commission on Banking Final Report

Company: Herbert Smith Freehills LLP

Following on from its Interim Report published in April 2011, the Independent Commission on Banking (Commission) published its Final Report, setting out its recommendations on reforms to promote stability and competition in UK banking. This white paper discusses the findings of the Report. VIEW SUMMARY

Category: Compliance | Published: 30 September 2011 | Type: White Paper

Rating: + 1

Solvency II – is your IT compliant?

Company: Oracle

There are stringent audit, security and control processes demanded by Solvency II legislation that impact data management within the wider context of the risk/actuarial environment. The directive demands that insurers do significantly more than simply store data. Read the report to find out more. VIEW SUMMARY

Category: Solvency II | Published: 20 September 2011 | Type: White Paper

Rating: + 2

SunGard pre-empts Dodd-Frank dilemmas

Company: SunGard

Organisations are preparing for the implementation of the Dodd–Frank Wall Street Reform and Consumer Protection Act regulations. Senior executive vice president at SunGard Energy & Commodities, Ben Jackson, explains how to pave the way and avoid getting caught out. VIEW SUMMARY

Category: Dodd-Frank | Published: 04 April 2011 | Type: White Paper

Rating: + 2

A legal guide to investing in France

Company: Herbert Smith Freehills LLP

This white paper from Herbert Smith gives an overview of France’s legal environment in the key areas that matter most to foreign investors. VIEW SUMMARY

Category: Compliance | Published: 28 February 2011 | Type: White Paper

Regulatory reform – The shape of things to come

Company: BNY Mellon

The Bank of New York Mellon (BNY Mellon) is currently the only financial institution in the US with a triple A rating from Moody’s. With the firm’s representatives actively engaged in industry and public policy forums, as well as advising regulators, its derivatives and risk expertise is exemplary. VIEW SUMMARY

Category: Compliance | Published: 03 February 2011 | Type: Article

Rating: + 2

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