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.
European venture capital funds: regulation adopted by Council and European Parliament
Under review is how from 22 July 2013, a large group of 'AIFMD exempt' European venture capital managers may elect for 'EuVECA' status of their venture capital funds. By complying with certain requirements they will become entitled to a European marketing passport (and share certain other benefits).
Islamic asset finance
Under review is how conventional secured lending and leasing structure for an asset can be developed into a Shari'a compliant product, thereby providing asset leasing companies and operators with the opportunity to meet their financing needs by accessing the liquidity of the Islamic finance market.
Banking & finance update - Australia in focus
This white paper looks at recent events affecting Australia’s banking sector. These include the legal risks associated with debt issuance programmes should a European Union member exit the Union, plus reforms to the Privacy Act 1988 in relation to banking and swap developments.
Using market and credit risk analytics to strengthen performance
The global credit crisis of 2007 caused extreme volatility within the financial system and exposed weaknesses within risk management practices. This white paper reviews the various steps banks are taking to improve their risk management techniques, looking at the benefits and pitfalls of each.
Consumer credit - getting ready for the new regulator
The government recently decided to transfer regulatory responsibility of consumer credit and second charge mortgages from the Office of Fair Trading (OFT) to the Financial Conduct Authority (FCA). This white paper analyses this decision and sets out an anticipated time-line for transfer.
Focus on private equity
This white paper discusses how the American Taxpayer Relief Act of 2012 and the benefits of Internal Revenue Code Section 1202 should be considered by private equity.
Guide to the FSA redress scheme for interest rate hedging products: key questions answered
Under consideration in this white paper is the redress scheme announced by the FSA in relation to interest rate hedging products, including who can claim redress as a ‘non-sophisticated’ customer.
Latest developments in interest rate hedging products claims
An investigation by the Financial Services Authority (FSA) has determined that 90% of interest rate hedging products such as swaps did not comply with regulatory requirements. This white paper reviews the Green & Rowley v RBS judgment and how it will impact financial institutions in the future.
Enforcement — what to expect under the Financial Conduct Authority
This white paper reviews the recent breakup of the Financial Services Authority (FSA). It provides insight into how the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) will regulate the UK’s financial services industry in the future.
2012/2013: Challenging years for European asset managers
European asset managers face significant regulatory challenges. The impact of new regulation will be substantial and will cause upheaval and change in the sector. This white paper summarises European and US areas of regulation that will impact European asset managers.