Compliance
361 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.
The Future of Trader Surveillance - The ABCD of Successful Surveillance
This white paper explores four success factors that can be utilised to deliver broader, more efficient surveillance. It further examines the key challenges, solutions and future benefits in achieving successful trader surveillance.
Bracing for impact - Facing the challenges posed by IRRBB
This white paper explores the IRRBB compliance challenge. It further discusses how IBM can leverage its insight into these challenges by offering a technology-based solution addressing the diverse conditions in which financial institutions operate.
Unified data – Key to IFRS 9 implementation Regulatory information brief (Part II)
In the drive for IFRS 9 compliance, the way institutions manage and utilise data will drastically change. This white paper explores how - for firms looking to capitalise on this overhaul - utilising external data sources to ensure efficiency and freeing of in-house resources is pivotal for…
How IFRS 9 can unite risk and accounting - Regulatory information brief (Part I)
This white paper explores how IFRS 9 can unite risk and accounting. It further examines how ensuring effective communication and collaboration will be key to achieving this and for getting the best from the new standard.
FRTB readiness - Examining the potential pitfalls ahead
This white paper addresses the key challenges of FRTB implementation and compliance. It further examines the complexity of managing and collecting all the data required to adequately comply with the FRTB rules.
MiFID II - Key Impacts for Trade Surveillance & Communications Monitoring
This white paper provides a overview and checklist of the key elements of MIFID II (and its accompanying Regulation – MiFIR) which are likely to create new obligations for your trade surveillance function. It further explores the regulatory technical standards issued and their area of influence.
Brexit and Clearing - Local, the new Global
This white paper analyses the implications for 3 different Brexit scenarios for central counterparties (CCPs, or clearing houses), clearing brokers and end users. Download the paper to ensure your organisation can be fully prepared for a "hard", "medium" or "soft" Brexit.
MiFID II - Quick Start Guide
This white paper is designed to help organisations get up and running with the major components and related processes for MiFID II. It further explores how your organisation can quickly build a fully integrated regulatory reporting solution to aid compliance.
Liquidity risk - Some practical challenges remain, but this is the time to automate & integrate
This white paper explores why banks must integrate the management of liquidity and interest rate risks under ALM, and move toward true risk-adjusted pricing by implementing the technology platforms that support such solutions.
A Legacy of Risk: Technology Transformation in Practice
This white paper examines the challenges faced by risk management executives when attempting to replace their risk technology architectures. It highlights lessons learned during this process and pitfalls to avoid, including those related to technical, operational, and cultural factors.