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.
US announces more than 50 countries now engaged in FATCA discussions
The US Treasury Department has announced that it is engaging in discussion with more than 50 countries to develop an intergovernmental approach to the implementation of the Foreign Account Tax Compliance Act. DLA Piper outlines the background to this development and details the countries involved.
Inside the US Government's highly-anticipated Foreign Corrupt Practices Act guidance
On 14 November 2012, a new resource guide to the US Foreign Corrupt Practices Act was issued by the Department of Justice and the Securities and Exchange Commission. Baker & McKenzie provides a synopsis of the most important provisions of this 120 page document.
Private Equity Legal Update – October 2012
Under consideration in this white paper are the latest legal and regulatory developments affecting private equity, including recent case law, changes to company law, tax, corporate governance, pensions and accounting.
Framework legislation on ring-fencing and depositor preference published
The draft Financial Services (Banking Reform) Bill published recently. It is the first legislative step toward implementing recommendations of the Independent Commission on Banking. This white paper reviews the Bill, updates on the status of other ICB recommendations and looks at next steps.
Setting the Stage: FATCA Compliance
The Foreign Account Tax Compliance Act stands to transform the global tax framework and how financial institutions track and report on their clients’ financial assets. With the law slated to come into effect in 2013, its implications and how financial institutions need to prepare is considered.
Meeting the Requirements of Emerging Regulations in Finance, Risk and Treasury Operations
Banks must meet ever more varied regulations. The sheer scale and scope of banking regulations, including Dodd-Frank, Basel III and IFRS, pose challenges to all financial institutions. This white paper discusses how to minimise these risks through aligning finance, risk and treasury operations.
Remuneration deferral under the AIFMD: London’s next 50p tax moment?
In June 2012, ESMA issued a consultation paper on its guidelines on sound remuneration policies under the Alternative Investment Fund Managers Directive. ESMA will consider all comments received by 27 September 2012. This white paper analyses the issues under discussion and their likely impact.
Private Equity Legal Update – July 2012
This white paper includes a round-up of recent case law, plus highlights of the latest environmental, regulatory, competition and employment law developments of relevance to those involved in private equity.
Light or shade? The future of bank-intermediated credit
As the implications of the slew of financial services regulation targeting the banking sector becomes clear, governments and regulators around the world are turning their attention to shadow banking. This white paper discusses this extremely challenging topic.
The euro: the ultimate crib
This white paper is a summary checklist of the state of the art about contingency planning for a euro breakup.