Regulation
700 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.
The ORSA: How prepared are you?
As your company prepares for ORSA, how do you know if your perception of readiness matches reality? In the 2012 PwC ORSA readiness survey1, over 80% of insurers felt their ERM frameworks were ORSA ready, yet only 38% had Boards that were more than passively engaged in ERM/ORSA, and only 35% had…
Growing with Governance, Risk and Compliance: Avoiding Common Pitfalls to Maximize GRC Solutions
Many large organizations have recognized value in developing a holistic view of risk and compliance through the use of governance, risk and compliance (GRC) solution. Embracing GRC in this manner enables organizations to address technology risks from a business perspective through alignment of the…
Future Trends in Optimisation Collateral, Regulatory Capital & CCP Selection
Financial firms are currently experiencing significant regulatory and cost pressures. This is leading to a search for ways to optimize various aspects of trade types that involve some level of counterparty credit risk (derivatives, securities lending, repo). This paper looks at the different types…
Enterprise compliance: The Risk Intelligent approach
As globalization continues to take hold and government regulation broadensaround the world, spilling across country borders, the issue of compliance risk remains a top-shelf business issue. It’s not just an item on the agenda. Compliance is its own agenda these days. And with good reason. Given the…
Collateral and Financial Plumbing
This Introduction to the newly published Collateral and Financial Plumbing provides a summary of the book, and provides an angle on the world of finance that was already in existence, but not widely understood by many finance professionals. Written by the leading authority on collateral, Manmohan…
Creating Flexible Risk Reporting
This paper looks at how investment management, reference data and risk technology can help organisations effectively function within new regulatory environments by leveraging risk systems across multiple asset classes to identity more efficient trading solutions
Global Anti-Money Laundering Survey 2014
It is 10 years since we released our first Global Anti-Money Laundering (AML) survey. During those 10 years, financial institutions have ridden the highs, and plunged to the lows, of the economic cycle. Despite these dramatic changes in the business environment, AML has remained a key focus area…
Cross-border investigations: Are you prepared for the challenge?
Conducting cross-border investigations is no simple endeavor. Add the complexities of legal and cultural differences, and you have arguably one of the biggest challenges facing global corporations today. There are obstacles at every step of a cross-border investigation, including initially…
Key risk data aggregation architecture required for Basel III compliance
Representing a sea-change for the financial sector, The BaselCommittee on Banking Supervision (BCBS) has focused on strengthening risk data aggregation and reporting capabilities at key financial institutions. The resulting paper, Principles for effective risk data aggregation and risk reporting…
Over the horizon: General Counsel Report 2014
In 2012, KPMG International published Beyond the Law, a global study of how General Counsel (GC) are turning risk to advantage, based on a survey of GCs around the world. This 2014 analysis Over the horizon explores more fully some of the themes that emerged from the 2012 survey to show how GC are…