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.
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.
A legal guide to investing in France
This white paper from Herbert Smith gives an overview of France’s legal environment in the key areas that matter most to foreign investors. France remains today one of the most attractive countries in the world for investors.
Solvency II: data quality and governance
The Solvency II directive for insurance and reinsurance companies in the EU comes into force December 31, 2012. To comply, companies must either use a one-size-fits-all approach or build an internal model. The latter is likely to be more efficient, but ensuring accuracy is a major concern.