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.
DFA Capital Planning Shakes Up Banks’ Infrastructure
In the past four years, the universe of US banks required to submit annualcapital plans supported by company-wide stress tests to the Federal Reserve for assessment has grown from 19 to more than 80. At the same time, the standards prescribed by the Federal Reserve have grown progressively more…
A New Approach to Regulatory Compliance
Since the 2008 ‘financial crisis’, regulators in virtually every jurisdiction have significantly ‘upped the ante’ in terms of levels of disclosure, granularity, trace-ability and frequency of regulatory reporting requirements.
Creating Safe and Fair Markets
In this white paper intended for the wider financial industry, we present our vision for the design and regulation of electronic financial markets empowered by formal verification.
OECD CRS: The Global Challenge for Automatic Account Reporting
FATCA, and in particular the implementation via intergovernmental agreements, has triggered a global waveof regulatory measures geared towards an automatic exchange of tax-related information and increased tax transparency. This currently culminates in the upcoming implementation of the OECD Common…
OTC IRS Portfolio Optimisation: how trade compression could save funds $mlns before the 2016 European Clearing Mandate strikes
This white paper describes a new approach to trade compression that allows fund managers to reduce the costs of swap clearing by up to 80% by eliminating excess gross notional from their books. The aim is to increase both trading and clearing efficiency in advance of the impending 2016 European…
Emerging initial margin requirements
Ongoing market uncertainty over the new and evolving margin regime for non-cleared over-the-counter derivatives has drawn many questions from firms, with too few reliable answers. This global survey – conducted by Risk and sponsored by IBM – is one of the first,comprehensive attempts to shed some…
Cloud computing and Solvency II
The computational requirements of Solvency II are driving the need for more computing power and data storage to be accessible on a scalable basis. Early adopters are leveraging cloud computing for their Solvency II implementations, while others are taking a more cautious approach, waiting for the…
Governance, risk and compliance survey 2014
For firms wrestling with the ever-changing demands of regulation and risk management, an integrated governance, risk and compliance (GRC) solution can be a powerful ally. However, this survey of risk practitioners, conducted by Operational Risk & Regulation and sponsored by IBM, reveals that many…
Dynamic Stress Test Diffusion Model Considering the Credit Score Performance
This white paper proposes a methodology that diffuses dynamically the stress on the credit rating scale while considering the performance of the credit score. Consequently, the aim is to more accurately reflect the impact of the stress on the portfolio by taking into account the purity of the score…
Emerging Themes 2015 Another turbulent year for financial regulation
2015 is set to be another turbulent year for the financial services industry, especially for those working in UK banks. Few would disagree that there needs to be a significant improvement in banking standards or that bankers should be remunerated in a way that incentivises good behaviour and does…