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.

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…

Tackling the growing risk of cyber crime

The risk of cyber-attacks on financial institutions is highly topical but not a new issue. However, what is changing, and rapidly, is the scale, frequency and sophistication of attacks. Financial institutions rely on technology to deliver convenient internet services to customers and to operate…

Integrating Risk into Pre-Trade Analysis: Practical Ways of Bringing Credit, Liquidity, Funding and Regulatory Costs into an Integrated Profitability Framework

As regulations in the derivatives market continue to be rolled out and implemented, financial institutions face growing pressure on their current business models. To survive and thrivein this new era of derivatives trading, today’s practitioners need to adopt a more integrated and holistic approach…

Optimizing the Capital Ratio under Basel III

Basel III stresses the integration between liquidity and credit risk, and the need to manage both from an enterprise-wide risk-management context. This demands a new enterprise-wide organization of tasks, processes, and calculation infrastructure, specifically in terms of systemsintegration, data…