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.
Putting cash to work - Now and post Solvency II
It looks like low interest rates are here to stay for some time. Insurance companies need to work out how to place their money and how to diversify, because there is little yield to be had at the front end of the curve. How investors can play a more active role in reviewing and structuring their…
Financial institutions at risk
Issues under consideration in this white paper include the regulatory landscape, guidance on hidden relationships and networks, and how to identify them. It looks at why financial institutions need to address these problems, and the roles of personnel and technology in the effort to combat money…
Counterparty risk: are we leveraging our tools?
While current technologies and techniques allow for more sophisticated and effective approaches to counterparty risk management than those that fell short in 2008, there are still barriers to successful adoption that will require organisational changes. Read this white paper to learn more.
Execution analytics: real-time challenges and directions in institutional trading
This white paper looks at managing securities trading data based on a robust process and technology infrastructure. It studies real-time analytics and Complex Event Processing (CEP) and the roles they play in the management of diverse data sets.
Competition law compliance by portfolio companies – what should private equity firms be doing?
A number of recent developments have highlighted the potential exposure of private equity firms to competition law risks as a result of the activities of their portfolio companies. This white paper looks at what private equity firms need to watch out for and how they can minimise the risks that…
Solvency II – Market risk: Getting off the data starting blocks
The associated asset data challenges under Solvency II are more complex than some insurers think and should not be ignored, as Peter Luckhurst, senior product manager at BNY Mellon Asset Servicing, exposes.
Managing emerging risks and macro-prudential regulation
A 2012 survey of global financial institutions, sponsored by Oracle Financial Services, has explored how firms are coping with the new macro-prudential regulatory environment. While many financial institutions see the new requirements as an opportunity to differentiate themselves, challenges in…
Bankers’ bonuses on the racks again as Government set to clamp down on cronyism
In previous economic downturns, calls for change to executive pay went unheeded. However, this time it looks different - the Government is publicly committed to achieving change. Freshfields' Simon Evans and Alice Greenwell examine whether the Government's pay proposals will drive change.
Investment Funds - What has happened and what may be to come
This white paper summarises developments affecting the investment funds industry from 2011 and looks at key issues for 2012. This will be of relevance to managers and investors in a wide range of alternative asset investment funds.
Clawback of dividends by the SFO – implications for investors
In early 2012, the SFO sent a warning when it obtained obtained a civil recovery order under the POCA 2002 enabling it to claw back dividends from a shareholder of a company convicted of a criminal offence. This white paper details the actions that private equity firms are, or should, be taking.