Regulation white papers

Found  388 white papers and resources

Regulation underpins the practices and procedures of every single activity undertaken by the banking and finance communities: from what information needs to be contained in a disclosure document through to what constitutes bribery.

Regulation is increasingly in focus, as the world’s governments struggle to bring us all back to financial stability.

Below you will find law and regulation white papers that will show you the latest developments and what you need to do so your organisation stays within the law.

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Regulatory Information Brief: MiFID II - Trade Supervision: First Defence

Company: Nasdaq

This white paper explores what is involved in implementing new regulations and how the front office will need to adapt in response to the changes. VIEW SUMMARY

Category: MiFiD | Published: 16 May 2016 | Type: White Paper

2016 EMEA & APAC Ethics & Compliance Benchmark Report

Company: NAVEX Global

This report outlines some of the main benchmarks for ethics and compliance programs, as well as giving an insight into how to calculate and capitalise on them. VIEW SUMMARY

Category: Compliance | Published: 04 May 2016 | Type: White Paper

Rating: + 3

MiFIR Special Report

Company: London Stock Exchange Group

This white paper discusses the issues raised by MiFIR reporting and explores various challenges that financial institutions face when implementing this new regulation. The paper further provides in-depth analysis from industry experts in the form of a virtual roundtable and Q&A. VIEW SUMMARY

Category: Compliance | Published: 28 April 2016 | Type: White Paper

Rating: + 7

Regulatory Information Brief: MiFID II – Risk Requirements: Re-examining Risk

Company: Nasdaq

This white paper outlines several key articles from MiFID II, which financial institutions should examine in order to make sure they comply with the new risk requirements. VIEW SUMMARY

Category: MiFiD | Published: 25 April 2016 | Type: White Paper

Rating: + 4

Bribery and Corruption: The Essential Guide to Managing the Risks

Company: ACL

This white paper outlines the key aspects of an effective process framework for managing the risks of bribery and corrupt payments. VIEW SUMMARY

Category: Enterprise Risk Management | Published: 19 April 2016 | Type: White Paper

Rating: + 10

IFRS 9: Unexpected Gains from Expected Losses

Company: Wolters Kluwer

This white paper explores IFRS 9 requirements and discusses how implementing a successful IFRS 9 strategy will allow organisations to justify key decisions and actions to employees and external supervisors. VIEW SUMMARY

Category: Regulation | Published: 15 April 2016 | Type: White Paper

Rating: + 11

A Fresh Perspective: Enhancing Transaction Cost Analysis Effectiveness

Company: IHS Markit

Having examined existing trends and attitudes to transaction cost analysis, this white paper describes how organisations can build upon current their use of this analytical tool in order to improve the investment process. VIEW SUMMARY

Category: Compliance | Published: 11 April 2016 | Type: White Paper

Rating: + 5

The Future of Collateral Management

Company: CloudMargin

This white paper focuses on the future of collateral management and examines how new regulation has significantly impacted the risks of providing collateral. VIEW SUMMARY

Category: Regulation | Published: 07 April 2016 | Type: White Paper

Rating: + 10

The 10 greatest challenges and pitfalls when designing and implementing SA-CCR

Company: Misys

This white paper explores the greatest challenges financial institutions will face when implementing SA-CCR. VIEW SUMMARY

Category: Regulation | Published: 05 April 2016 | Type: White Paper

Rating: + 8

Regulatory Information Brief: MiFID II - Trade Surveillance: Raising the bar

Company: Nasdaq

This white paper discusses the main catalysts for change in recent regulation and the implications this will have for businesses. VIEW SUMMARY

Category: MiFiD | Published: 04 April 2016 | Type: White Paper

Rating: + 1

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