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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Types of operational risk loss by event, March 2010 to March 2012
The alpha trackers
JP Morgan and UBS both filed products linked to seasonal underlyings with the SEC on April 19
Peter Slater leaving CLS to take up op risk role at Standard Chartered
Most of the latest structured products filed with the US Securities and Exchange Commission are linked to shares of companies from the energy and natural resources sector
Barclays Bank has offered a digital and a leveraged return product in the US, both of which offer high rates of return
Bank of Montreal has filed a coffee company-linked product with the SEC, and UBS has registered another seven reverse convertibles
All the structured products filed with the US Securities and Exchange Commission on March 27 were reverse convertibles
Fourteen reverse convertibles, mostly from UBS, one autocallable and two leveraged return notes make up the latest batch of structured products to be filed with the SEC
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.