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.
Solvency II: Are you ready for the operational challenge?
This white paper highlights how your organisation can prepare for Solvency II and the key factors to consider in the build up to the proposed 2014 deadline. Topics covered: tackling the right issues, the impact of operational risk, the Solvency II rationale and business process management success.
Financial services: narrow the breach-to-detection gap
What’s more important, security or compliance? Most IT shops are focused on compliance but breaches are still happening. A recent study by Verizon Business concludes that evidence of those breaches tends to be right there in log files.
Automating IT data collection and compliance for GRCM controls
GRCM covers a broad range of risks typically entailing financial, information technology, and legal issues. Their goal is to prioritise the risks, justify funding for remediation, and use policy to guide operational teams in corrective actions.
Avoid the information commissioner’s wrath: 10 top tips
There is no 100% in security. Sooner or later an incident will occur and when it does, you want to make sure you have the right procedures, policies and controls to avoid regulatory or audit scrutiny. Read this white paper for ten top tips.
SunGard pre-empts Dodd-Frank dilemmas
Organisations are preparing for the implementation of the Dodd–Frank Wall Street Reform and Consumer Protection Act regulations. Senior executive vice president at SunGard Energy & Commodities, Ben Jackson, explains how to pave the way and avoid getting caught out.
Securitised debt markets in Asia are poised for growth, but challenges remain
Securitised debt has, at best, played a supporting role in Asia over the past decade or so. No sooner did issuers and investors begin to embrace the product than it met an unexpected hurdle that took the wind out of its sails.
Basel III and IFRS 9: A tightening of the regulations
During the second half of 2010, both the Basel Committee on Banking Supervision (BCBS) and the International Accounting Standards Board (IASB) provided further clarification and quantification of the required global standards for capital, liquidity and for the accounting of financial instruments…
Broadland District Council selects Asset4000 from RAM to improve audit trail and meet key legislation
This case study shows how Broadland District Council, a Norfolk authority, selected Asset4000 from Real Asset Management (RAM) to control its £7m worth of assets in line with the Statement of Recommended Practice (SoRP) and IFRS legislation.
Anti-money laundering compliance and technology
The nature of criminal activity means that anti-money laundering compliance efforts will constantly evolve. This white paper analyses the state of anti-money laundering compliance and technology and discusses the solutions available.
Establishing and maintaining a single customer view
In the UK it is now mandatory for deposit takers (banks, building societies and other institutions) to be able to provide the authorities with a single customer view of all deposits held by the organisation for individual depositors.