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.
Can Russian depositors get their money out of Cyprus' banking system?
This white paper looks at the recent Cypriot banking crisis and how this has impacted depositors. It focuses particularly on three injunctions that have been granted by the Supreme Court and how they affect the billions of Euros that Russian depositors have in Cyprus’ two main banks.
Funds regulatory timeline - key dates and measures
This at-a-glance timeline illustrates some key dates for the latest legal and regulatory changes affecting the funds and real estate sectors.
Impact of the AIFMD on investment companies
The Alternative Investment Fund Managers Directive will almost certainly apply to investment entities listed under Chapter 15 of the UKLA's Listing Rules. In this white paper, Nabarro's financial services team sets out some of the factors to consider about the AIFMD.
Hong Kong and Mainland China to provide for mutual recognition of retail funds
The HK Securities & Futures Commission and the China Securities Regulatory Commission are working together on the mutual recognition of retail funds authorised in Mainland China and HK. This paper provides details on the proposal for mutual recognition and analyses the practical implications.
Jersey Fund Offers
The extent to which an offer document for a Jersey Fund is regulated depends on the type of fund and how widely the offer document will be circulated - namely, whether it is a public or private offer. This white paper provides an overview of how to comply with applicable Jersey legislation.
Changes in money laundering requirements on the horizon
Combating money laundering and other financial crime is a pressing pan-global concern and a focus of the UK's regulators, with failings in this area carrying significant risk. This white paper reviews the latest issues of concern and proposed regulatory changes impacting the financial sector.
Banking crisis in Cyprus: Q&A on the new banking laws
Harneys answers frequently asked questions about banking in Cyprus in the context of the current banking crisis. Key issues discussed include circumstances under which the Deposit Protection Scheme is activated, which deposits are covered by the Deposit Protection Fund and depositor compensation.
BVI and Cayman funds - comparison overview
This table provides a basic comparison of key features of BVI and Cayman investment funds in areas including legal structures, types of funds available and regulatory issues.
Emerging themes 2013: A clean sweep for financial regulation?
Regulatory compliance and risk management continue to be a mounting concern for the financial sector. Set against a backdrop of increasingly aggressive financial services regulation, this white paper provides a series of short topical articles discussing key areas of focus.
Investment funds: a comprehensive review and guide to the year ahead
There is little doubt that 2012-2013 is a period of significant change for the investment funds industry. Understandably, there has been a lot of attention given to the AIFMD, but there have been and will be other developments of considerable importance to the alternative investment funds market.