Regulation
705 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.
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.
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…