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.
ORSA and Enterprise Risk Management
This whitepaper focuses on enterprise risk management as the foundation for regulatory compliance and strategic business decision making. For insurance organizations that are required by regulators to implement an ORSA program, it also provides a framework and the processes that will produce a…
The Quest to Stop the Creative Rule Breakers
This whitepaper highlights how research findings have identified forms and patterns of rule-breaking behavior in the financial markets. The paper also considers the darker side of recent findings, some of the games of compliance noted by researchers, and looks at a few common behavioral effects…
Global Conduct Risk Report
To support the financial services industry in its management of conduct risk, and enable firms to benchmark their own practices against global peers, Thomson Reuters has undertaken its first survey dedicated to finding out how the industry is defining and dealing with conduct risk. The responses…
CVA and Counterparty Risk Management: a survey of management, measurement and systems
The paper presents the results of a survey that looks to establish the management processes, measurement and systems that banks use to control counterparty risk paying particular focus on two important metrics in counterparty risk: Potential Future Exposure (PFE) and Credit Valuation Adjustment …
Conduct Risk - When Compliance Becomes a Game
Read this whitepaper to explore contrasting views of risk, the various categories of compliance games, and understand why many conduct risk controls have historically failed.
A sophisticated approach to capital modelling
How can you stop seeing regulatory change as an obstacle, and start seeing it as an opportunity? As regulators in the insurance sector increase their focus on risk management, insurers need to respond quickly to put new systems and processes in place.
Model Risk: The Challenges of Legacy Code and Best Practices
In this paper, we will examine the most common types and sources of model risk, and then outline best practices that practitioners can utilize in their model validation processes.
Mastering Model Risk: Assessment, Regulation and Best Practices
In this white paper, we explore the evolution of model risk, including regulatory drivers and industry challenges. We also take a closer look at model risk analysis, examining model assessment, validation and review processes.
Webinar - Collateral and counterparty tracking - the practical challenges of the new margin regime for non-cleared trades.
FREE webinar: 'Collateral and counterparty tracking: The practical challenges of the new margin regime for non-cleared trades.'
Nonbank SIFIs: No solace for US asset managers
This Regulatory Brief analyses the OFR report and the Consultative Document, and concludes with our continued view that the council will propose a few large asset managers for designation.