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.
The benefits: automating external reporting procedures
Organisations typically face a number of challenges in the completion of the external financial reports. Automating the external reporting process can lead to the following benefits: Reduced personnel costs, Lower external costs, Reduced risk and Reduced cycle time. Read on to find out more.
Efficiency matters - automating routine tasks in finance
This white paper looks at how its time to build the "last mile" with integrity of reporting, assured compliance and insightful analytics allowing the most successful organisations to utilise all their resources to make the best business decisions.
Potential Eurozone break-up: some questions and answers
In this white paper, Herbert Smith considers some of the issues which would arise if a Member State were to decide to leave the Eurozone (or, indeed, be expelled). There are a number of potential methods by which a Member State could leave the Eurozone, with different consequences.
Reducing fraud in the information age
Technological advances, volatile markets and a continuing economic crisis make for fertile soil for fraud. Whether driven by need or greed, fraudsters keep the world’s financial institutions under constant pressure. It is no longer enough just to investigate fraud after it happens, companies need…
The basics of PCI compliance
This white paper reviews the basics of PCI, including who must comply, compliance requirements, validation requirements and penalties. It also examines key things to look for when selecting a PCI network testing service
Hedge Funds and anti-money laundering
This white paper describes how hedge funds fit in to the overall lifecycle of money laundering. Using a 3 step process in the money laundering lifecycle, Oracle Financial Services uses procedures to detect money laundering in hedge funds through link analysis, sequence matching and outlier…
Fixed income e-trading trends: The ripple effect of new financial markets regulation
Following the credit crisis of 2008, a wave of new financial markets regulation is in the process of being introduced. Rick McVey, chief executive officer of MarketAxess, provides an overview of these new regulations and the impact they are having on the broader markets as the world adjusts to this…
The Independent Commission on Banking Final Report
Following on from its Interim Report published in April 2011, the Independent Commission on Banking (Commission) published its Final Report, setting out its recommendations on reforms to promote stability and competition in UK banking. This white paper discusses the findings of the Report.
Solvency II – is your IT compliant?
There are stringent audit, security and control processes demanded by Solvency II legislation that impact data management within the wider context of the risk/actuarial environment. The directive demands that insurers do significantly more than simply store data. Read the report to find out more.
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.