Know your customer (KYC)
Governance failures and weak compliance at heart of $1.45bn fine
Due diligence requirements prompting banks to axe financial services
Trading errors, collateral and the potential for China's derivative market were 2014's top stories
This white paper looks at the heavy impact of regulation on investment managers, the mitigation of outsourcing risk, inefficiencies in corporate actions processing and the growing importance of collateral management.
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Keeping track of fraud and money laundering made easier through machine learning
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Regional KYC requirements adding to global regulatory burden
Banks hoping for guidance on non-IGA nations
Initial service will focus on bank policies, but Swift aims to expand
Establishing a coherent system of legal entity identifiers has been an important challenge for the swaps industry over the past two years. Now, in the face of regulatory pressure, anti-money launder...
On August 13, derivatives dealers found themselves facing a compliance challenge of epic proportions – final language setting out what counts as a swap had just been published in the Federal Register...
This whitepaper reviews the fundamental changes of Liquidity Risk Management under Basel III. It discusses how institutions can meet the regulatory requirements on liquidity risk management by enhancing their liquidity risk analytics, funds transfer pricing methodologies, liquidity stress testing frameworks, and enterprise risk management platforms.