Compliance
454 white papers and resources
Risk Library hosts a number of compliance white papers and analysis reports by leading experts. Use the information resource for the latest industry developments and to ensure that your organisation meets all financial regulatory requirements. Compliance means conforming to a set of best practice controls set by the organisation or externally, by governments and non-governmental bodies. They are enforced usually through management processes that identify, assess and initiate relevant corrective action each time these laws, policies, regulations, contracts or strategies are broken.
Solving the MiFID II challenge
This white paper aims to help organization solve the MiFID II challenge. It further explains how there is still time for organisations to take on a MiFID II technology solution ready for the 2018 deadline.
Benchmarks Regulation – The Game is On
This white paper addresses the fast approaching deadline for Europe’s Benchmarks Regulation. It further provides guidance and information from the regulator to help organisations ensure compliance from January 2018.
Liquidity - Bringing it all Together
This white paper examines the evolution of liquidity and the introduction of additional requirements for intra-day liquidity management. It further explores why organisations are moving towards intraday models and global liquidity engines.
Pulling it all together – Challenges and opportunities for banks preparing for FRTB regulation
This white paper discusses the key challenges and opportunities facing banks as they prepare to implement the Fundamental Review of the Trading Book standard. It further examines how data aggregation and reporting tools can significantly aid compliance.
Achieving IFRS 9: A long way to go in a short time
This paper broadly sets out the critical steps of complying with IFRS 9 and suggests the most effective ways to accomplish them. It further explores the primary elements of IFRS 9 to help aid context and understanding.
Regulatory Client Outreach & The Path to Compliance
This paper explores the core operational and internal challenges that currently make the process of Regulatory Client Outreach a logistical nightmare for financial institutions. It further explores a proposed ‘best practice’ approach by automating aspects of the client management process.
Modelling Stressed Losses Given Default (LGD's) for Macroeconomic Scenarios
This white paper explores a validated model for stressed losses given default (LGD’s). It further provides a practical solution for banks and other financial institutions that require public firm LGD estimates for risk management and compliance purposes.
Finding Flow: The Case for Electronification in OTC Markets, Its Evolution and Its Future in Illiquid Markets
This white paper explores the evolution of electronic OTC derivatives trading platforms. It further examines the benefits of growing adoption of electronic RFQ platforms, for structured and exotic products.
Inside the mind of the compliance officer
This white paper explores the evolution of compliance, as well as the relevant trends to keep an eye on for the future. It further addresses the key drivers for electronic communications monitoring, followed by the challenges involved.
IFRS 9, Stress Testing, ICAAP - A comprehensive framework for PD calculation
This white paper explores a comprehensive framework for IFRS 9, Stress Testing and ICAAP probabilities of default (PD) calculation. It further addresses some of the main problems arising in developing PDs for regulatory purposes and how to overcome these challenges.