Compliance white papers

Found  313 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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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

Preparing a Local Authority for IFRS compliance and component accounting

Company: Real Asset Management Plc

Discover how Real Asset Management's Asset4000 software is providing a large County Council with an IFRS-ready centralised asset register to manage its £2.4bn asset base and improve audit trail. VIEW SUMMARY

Category: Compliance | Published: 09 September 2010 | Type: White Paper

Tips of the trade

Company: Sybase, Financial Services Authority (FSA), British Bankers’ Association (BBA)

A panel of experts was convened for this virtual roundtable, sponsored by Sybase, in which they discuss the challenges facing financial institutions in meeting new liquidity regulations and share some tips for best practice in stress-testing a liquidity risk framework. VIEW SUMMARY

Category: Liquidity Risk | Published: 25 August 2010 | Type: Article

Regulation & ETRM solutions

Company: Sapient Global Markets, Koch Supply & Trading

New financial regulation poses fresh challenges to companies’ financial technology and systems. In a Q&A sponsored by Sapient Global Markets, Energy Risk discusses with experts how they can respond and what will be the impact on market developments. VIEW SUMMARY

Category: Compliance | Published: 28 July 2010 | Type: Article

Rating: + 1

New technology is changing the way companies manage ETRM software

Company: Pioneer Solutions

Pioneer Solutions’ president, Uday Baral, discusses how the needs of ETRM users are being met by the dynamic and efficient service his company offers. VIEW SUMMARY

Category: Commodities | Published: 06 May 2010 | Type: Article

Rating: + 2

Recovery Positions

Company: ICAP

Russia was hit hard by the financial crisis, but market participants say there is plenty to be optimistic about in 2010. At a roundtable discussion in December, industry experts discussed Russia’s economy, the development of market infrastructure and the growth of the derivatives sector. VIEW SUMMARY

Category: Credit Derivatives | Published: 13 January 2010 | Type: Article

Judgement calls

Company: Ernst & Young

The credit crisis has exposed a number of failings in risk management at financial institutions around the globe, triggering a glut of proposals for new legislation and new regulation covering everything from bank trading books to central clearing. VIEW SUMMARY

Category: Compliance | Published: 14 September 2009 | Type: Article

Consistency, control & compliance - automating General Ledger reconciliations

Company: SmartStream Technologies Ltd

General Ledger reconciliations form a critical business control function and yet for many organisations remain a manually intensive, fragmented task. UK-based insurers Norwich Union and Prudential describe the benefits they've gained from automating this process. VIEW SUMMARY

Category: Compliance | Published: 18 August 2009 | Type: White Paper

Southern Housing Group addresses component accounting

Company: Real Asset Management Plc

Majority of UK housing associations are beginning to face up to the challenges associated with moving to Component Accounting and meeting the SORP 2008 deadline and Southern Housing Group has already successfully made the move to component accounting from April 2006 and delivered its first VIEW SUMMARY

Category: Compliance | Published: 07 October 2008 | Type: White Paper

Data Intelligence and Governance

Company: Trillium Software

Increased transparency of the financial disclosure process requires that all underlying data meet emerging governance, risk and compliance (GRC) requirements. Banks must re-evaluate aspects of their lending strategies and dig into the real data within the various classes of risk. VIEW SUMMARY

Category: Compliance | Published: 08 April 2008 | Type: White Paper

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