A number of banks are developing new functionality to allow clients to view prices and access services via a Blackberry, iPhone or iPad. But what do compliance departments and regulators have to say about...
Insurance Risk and BNY Mellon have conducted a survey to look at how insurance companies are preparing for the new regime and the opportunities and challenges that the changes will bring.
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Now that they have a little breathing space, and as the threat of a deluge of regulation looms, banks are once again investing in governance, risk and compliance (GRC) systems to help them stay on top of things
The Dodd-Frank Act created a multitude of would-be swap execution facilities (Sefs) – trading platforms that will aggregate dealer liquidity. Now, dealers want to hoover up the Sefs by building their own aggregation services, but it’s a strategy that...
Dodd-Frank caused Deutsche to look at reinventing its Autobahn platform as a Sef – but dealers now see a future for their platforms as price aggregators
Self-registration is preferred operational model, with each legal entity paying an annual fee to cover costs
This paper discusses a number of diverse considerations that risk managers need to incorporate into their thought processes and recurring procedures if they are to fulfill their role more effectively in the future