Regulation
315 white papers and resources
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.
SOX internal controls for fixed assets
Following the financial disasters at Enron, WorldCom and many others, Congress mandated in the Sarbanes-Oxley Act (SOX) that all publicly traded companies have a system of Internal Controls. This white paper explores the internal controls required by SOX in relation to fixed assets.
Basel III and Beyond: Banking Regulation Beyond The Crisis
Around the world, central bankers, regulators and governments have responded to the financial crisis with new regulation and legislation. The cornerstone of this global initiative to contain risk is Basel III – sweeping new regulatory standards for banks on capital adequacy and liquidity. These new…
SharePoint and DocAve: The future of enterprise content management
With an ever-growing volume of records and documents to tame, myriad business processes to automate, constantly evolving compliance regulations to meet, and an onus to constantly author and publish fresh content, today’s business environment demands a robust ECM solution.
Solvency II: Are you ready for the operational challenge?
This white paper highlights how your organisation can prepare for Solvency II and the key factors to consider in the build up to the proposed 2014 deadline. Topics covered: tackling the right issues, the impact of operational risk, the Solvency II rationale and business process management success.
Financial services: narrow the breach-to-detection gap
What’s more important, security or compliance? Most IT shops are focused on compliance but breaches are still happening. A recent study by Verizon Business concludes that evidence of those breaches tends to be right there in log files.
Automating IT data collection and compliance for GRCM controls
GRCM covers a broad range of risks typically entailing financial, information technology, and legal issues. Their goal is to prioritise the risks, justify funding for remediation, and use policy to guide operational teams in corrective actions.
Avoid the information commissioner’s wrath: 10 top tips
There is no 100% in security. Sooner or later an incident will occur and when it does, you want to make sure you have the right procedures, policies and controls to avoid regulatory or audit scrutiny. Read this white paper for ten top tips.