Compliance & Regs

7 Ways to Improve Regulatory Document Management

By: Marc Murphy At a recent AML event, a speaker from a global financial institution claimed that regulatory coverage of documentation was a hugely problematic and thorny issue for his organisation. In fact, judging by the nodding heads in the audience,…

FATCA – The Best Opportunity for KYX!

By: Marc Murphy (Fenergo) Having attended the FATCA Forum event in London two weeks ago, one word kept cropping up time and time again in relation to FATCA – not from vendors (surprisingly enough) but from compliance and tax experts…

Compliance Risk – Banking

By: Maria Coppinger-Peters Compliance risk is the current and prospective risk to earnings or capital arising from violations of, or nonconformance with, laws, rules, regulations, prescribed practices, internal policies, and procedures, or ethical standards.  Compliance risk also arises in situations…

Another Reform & Another Crisis?

The current financial crisis has spawned new regulations around credit, liquidity and systematic risks. Post Crisis, the regulators and supervisors have a bigger challenge ahead in deciding “What’s next for better tomorrow”? One of the common platforms where Basel Committee…