Regulation
699 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.
OpRisk & Regulation: GRC Special Report
Within this special report CoreStream offer a set of considerations when implementing or refining a GRC practice (pages 4 and 5) and Oracle discuss risk/reward and big data and how it can benefit the Governance Risk and Compliance process (pages 10 and 11).
Expectations of Risk Management Outpacing Capabilities – It’s Time For Action
Risk management is at the top of the global executive agenda as companies face an array of threats that grow more complexby the day. This white paper looks at why risk management capability are not advancing fast enough at most companies.
Legal Risk Benchmarking Survey: Results and Analysis
In 2003 the Basle Capital Accord set the challenge to Financial Institutions: to create systems and controls that will contribute to the management of ‘the legal aspects of operational risk’ (legal risk). But although Financial Services dominate this area, legal risk is an issue across all sectors…
Selecting the right cybercrime-prevention solution
This white paper discusses key considerations and best practices to help organizations achieve effective and sustainable cybercrime prevention.
Meeting FFIEC guidance and cutting costs with automated fraud prevention
This white paper will discuss how organizations can achieve effective and sustainable online banking fraud prevention in accordance with FFIEC guidelines using the IBM Security cybercrime prevention architecture.
Holistic fraud prevention: transforming the customers’ experience
Financial institutions are on a perpetual quest to improvecustomer engagement to drive increased transactions, account balances, loyalty, and ultimately profitability. Banks found that online banking fulfills this objective; online banking customers (especially online bill-pay customers) have…
The Legal Risk Challenge Widens
In-house counsels tasked with managing legal risk have interesting times ahead. The new European Banking Authority rules may strain resources, and force a review of legal-risk categories and risk models.
Unlocking FATCA and CRS
At the end of October 2014, the UK and 50 other countries from the Organisation for Economic Co-operation and Development (OECD) signed up to the Common Reporting Standard (CRS). Governments have committed to implement automatic exchange of tax information in 2017. CRS: A Game-Changer CRS is…
PS14/9 custody assets & client money: 1 December 2014 and beyond
Following the publication on 10 June 2014 by the Financial Conduct Authority (FCA) of policy statement 14/9 (PS14/9), the second stage of the client assets (CASS) rules will come into force on 1 December 2014.Many of the rules from 1 December 2014 have a 6 month transition period for existing…
The Basel Committee’s BCBS239 principles: A Single Source of Truth
Banks need to anticipate problems and need a single source of truth to do so.Data aggregation is a well-known and well understood challenge in the banking industry. The investment to improve IT infrastructure, data integrity and completeness, together with reporting capabilities can be vast.