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.
Hedge Funds and anti-money laundering
This white paper describes how hedge funds fit in to the overall lifecycle of money laundering. Using a 3 step process in the money laundering lifecycle, Oracle Financial Services uses procedures to detect money laundering in hedge funds through link analysis, sequence matching and outlier…
Potential impact of Solvency II on equity derivatives markets
Solvency II is a major regulatory theme for financial markets through 2011 and beyond. It will not only have an impact on insurance companies, but may also have wider repercussions across financial markets. This article provides a summary of the Royal Bank of Scotland’s latest report focusing on…
Fixed income e-trading trends: The ripple effect of new financial markets regulation
Following the credit crisis of 2008, a wave of new financial markets regulation is in the process of being introduced. Rick McVey, chief executive officer of MarketAxess, provides an overview of these new regulations and the impact they are having on the broader markets as the world adjusts to this…
The Independent Commission on Banking Final Report
Following on from its Interim Report published in April 2011, the Independent Commission on Banking (Commission) published its Final Report, setting out its recommendations on reforms to promote stability and competition in UK banking. This white paper discusses the findings of the Report.
Solvency II – is your IT compliant?
There are stringent audit, security and control processes demanded by Solvency II legislation that impact data management within the wider context of the risk/actuarial environment. The directive demands that insurers do significantly more than simply store data. Read the report to find out more.
Solvency II – Capitalising on market distortions
European insurers – one of the largest groups of investors in the global financial markets – will operate under a single regulatory framework for the first time when Solvency II comes into force in 2013. This could trigger large re-allocations among their €7 trillion ($10 trillion) of assets, in…
When is a hedge not a hedge? ALM under Solvency II
Solvency II increases the focus on the sourcing and calibration of accurate and representative discount curves. Alterations to discount curves may change optimal hedges and necessitate re-hedging.
SOX internal controls for fixed assets
Following the financial disasters at Enron, WorldCom and many others, Congress mandated in the Sarbanes-Oxley Act (SOX) that all publicly traded companies have a system of Internal Controls. This white paper explores the internal controls required by SOX in relation to fixed assets.
Basel III and Beyond: Banking Regulation Beyond The Crisis
Around the world, central bankers, regulators and governments have responded to the financial crisis with new regulation and legislation. The cornerstone of this global initiative to contain risk is Basel III – sweeping new regulatory standards for banks on capital adequacy and liquidity. These new…
SharePoint and DocAve: The future of enterprise content management
With an ever-growing volume of records and documents to tame, myriad business processes to automate, constantly evolving compliance regulations to meet, and an onus to constantly author and publish fresh content, today’s business environment demands a robust ECM solution.