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.
KYC, AML, FATCA and client on-boarding - A glossary
This glossary is designed to support back and middle office resources in dealing with know your client (KYC), anti-money laundering (AML), Foreign Account Tax Compliance Act(FATCA) and client on-boarding.
Global securities enforcement activity stepping up to meet new market challenges
The US regulatory environment continues to revamp with new rules being issued to conform to legislative mandates in the Dodd-Frank Act. The UK and EU also seek to reinforce previous global initiatives to reform and strengthen financial markets. These developments and implications are discussed.
Lender market advisory: swap guarantees – keepwells and excluded obligations
Under analysis in this white paper are options for addressing in loan documentation the US Commodity Futures Trading Commission requirement that guarantors of swaps that are not entered into on designated contract markets must be "eligible contract participants".
Private equity - the SEC, broker-dealer issues and tax in focus
In this private equity update, issues discussed include the SEC increasing its focus on transaction fees and other broker-dealer issues for private fund sponsors. Also, the US President’s budget proposals including changes to carried interest taxation, both of which will impact investors.
The use of non-GAAP financial measures — a disclosure guide
This alert provides practical guidance for the use of non-GAAP measures that balances the needs of issuers, the market and the US Securities & Exchange Commission.
Securitisation law reform: new perspectives for financing the Moroccan and wider African economy
Following the example of the most reliable and secure foreign legislations on securitisation, Morocco has modified its securitisation act n°33-06. Under discussion in this white paper is the impact upon companies and investors in Morocco and Africa.
Vietnam in focus: Investment companies, ETFs and REIFs
Vietnam recently introduced certain regulatory changes on foreign investors’ securities trading, and for the first time authorised the formation of securities investment companies (“investment companies”), exchange-traded funds (“ETFs”) and real estate investment funds (“REIFs”).
UAE investment funds regulation: funds industry welcomes changes
The UAE Securities and Commodities Authority (SCA) has made some significant changes to its Investment Funds Regulations (IFR) prior to the 12 month transitional period (during which all fund managers are to apply for approval of their funds for marketing in the UAE) expiring in August 2013.
Amendments to the CIS regulations and regulatory treatment of closed-end funds
Following the consultation by the Monetary Authority of Singapore (MAS), changes were made to prospectus disclosure requirements applying for offers of units in collective investment schemes to the retail public. The impact of these changes is discussed in this white paper.
Recent and potential changes to the Japanese Insider Trading Regulations
This white paper provides an outline of changes to Japan’s insider trading and the related monetary penalty system in late 2012. Also in the spotlight are further potential changes to their Insider Trading Regulations expected to come about in 2013.