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.
Investment Funds – Guidance on duties of independent directors of investment funds
The Weavering judgment gives very specific examples of the ways in which the directors of an investment fund were held to have failed to fulfil their duties and sets out important guidelines for fund directors.
Move annual reporting into the 21st century
Despite being so important, the process to create the Annual Report is still stuck in the middle ages, with companies using a time consuming and error prone manual approach. This paper discusses the issues/risks involved and the solutions available for an automated approach to producing vital…
Disguised remuneration and its impact on carried interest and co-investment arrangements
2011's Finance Act introduced far-reaching anti-avoidance provisions referred to as the disguised remuneration rules. These rules could potential apply to the acquisition of and returns from carried interest or an interest in a co-invest vehicle.
The benefits: automating external reporting procedures
Organisations typically face a number of challenges in the completion of the external financial reports. Automating the external reporting process can lead to the following benefits: Reduced personnel costs, Lower external costs, Reduced risk and Reduced cycle time. Read on to find out more.
Efficiency matters - automating routine tasks in finance
This white paper looks at how its time to build the "last mile" with integrity of reporting, assured compliance and insightful analytics allowing the most successful organisations to utilise all their resources to make the best business decisions.
Potential Eurozone break-up: some questions and answers
In this white paper, Herbert Smith considers some of the issues which would arise if a Member State were to decide to leave the Eurozone (or, indeed, be expelled). There are a number of potential methods by which a Member State could leave the Eurozone, with different consequences.
41% of organisations are not protected against IT security risks
Businesses today face IT security and compliance risks on several fronts. But, are they rising to these rapidly proliferating challenges? This report based on a survey of 353 IT professionals shows 41% of organisations are not well aware of or protected against information security risks.
Reducing fraud in the information age
Technological advances, volatile markets and a continuing economic crisis make for fertile soil for fraud. Whether driven by need or greed, fraudsters keep the world’s financial institutions under constant pressure. It is no longer enough just to investigate fraud after it happens, companies need…
The basics of PCI compliance
This white paper reviews the basics of PCI, including who must comply, compliance requirements, validation requirements and penalties. It also examines key things to look for when selecting a PCI network testing service
Risk Management for Insurers
The insurance industry is facing turbulent times and risk management is at the top of the agenda. This is particularly the case in Europe, where the introduction of Solvency II will drastically redesign the supervisory rules for regulatory capital for insurance companies.