Regulation
707 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.
Transparency in fund investments - a capital advantage
This article discusses how look-through approach can be used to improve risk management and capital efficiency for an insurance company investment in a pooled fund within the context of the requirements under Solvency II.
Heading up a bank under UK law vs prudential risk assessments
What is current legislation relating to individuals at the helm of a bank, and what impact does it have? This white paper reviews the current situation under UK law. It discusses the key questions of how will regulators ensure that banks do adopt prudential risk assessment? Will overseas banks…
Regulating the financial markets and institutions - who, how and why?
This note discusses the need to regulate financial markets and institutions, the benefits and costs of this regulation, and whether regulation needs to be undertaken by public/government agencies or can be left to private entities.
Investment companies and charges of misconduct
Set within the context of the decision clearing John Pottage of misconduct in carrying out his CF3 and CF8 functions when CEO at UBS Wealth Management (UK) Limited and UBS AG, this white paper sets out some key points to note for regulated firms and their senior management and compliance staff.
Adopting risk-management processes
Research indicates that more and more businesses will adopt a holistic approach to risk management as they deal with growing economic uncertainty. Read this paper to learn how to establish a comprehensive risk management strategy that encompasses policies for overcoming each of these issues.
Private Equity Legal Update – May 2012
This white paper provides a round-up of corporate and company law developments, plus highlights of legal developments from other practice areas relevant to private equity.
Reduce the cost of compliance for financial services: top three strategies
This paper explains how organisations can lower their overall cost of compliance. The paper does this by focusing on actions the study suggests would lower the cost of compliance.
Wrong-way CVA done right
Credit valuation adjustment (CVA) has been at the forefront of many discussions since the 2007–2008 financial crisis as a result of losses taken by major market participants due to counterparty defaults on derivatives. Basel III and threatened clearing requirements are driving change.
When the going gets tough for banks, good institutions get even tougher
While governments rally to bring some order to the economic crisis, customer confidence in the financial industry as a whole is waning. Institutions must be able to prove that they're doing all the right things; among other things, appropriately auditing and controlling the IT environment.
Avoid the top five PCI mistakes
The goal of PCI, is not compliance for itself but better protection of credit card information. Read this article to understand how to avoid the top five PCI mistakes organisations make when they lose sight of this goal.