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Navigating regulatory risk: The role of the regulatory liaison office
A well-staffed, focused and highly regarded Regulatory Liaison Office (RLO) with the proper executive leadership can be an effective way for an organization to manage regulatory concerns and speak with a single voice to the regulators, who oversee an organization’s operations.
Global risk management survey, eighth edition
Retail and commercial banks, insurance companies, asset managers, and other financial institutions continue to have significant opportunities to strengthen their risk management processes and tools.
Top 10 hot topics for 2013: A mid-year outlook on the regulatory landscape for financial institutions
Read this paper for insights into our top 10 regulatory, policies, activities, and trends that institutions should likely have on their radar.
CFTC and EU OTC derivatives regulation: An outcomes-based comparison
Read this paper for highlights on how the USA and EU regulatory regimes for over-the-counter derivatives markets are highly aligned.
Future tense: What two years of Dodd-Frank may tell banks about the future
This article takes a look of where Dodd-Frank has taken the industry to date and shares some suggestions for banks looking for opportunities to turn this new regulatory environment to their advantage.
Implications of the SEC's Evolving Agenda on Corporate Governance
Read an update on the SEC's role in corporate governance, including a discussion of the SEC's changing composition, structure and resources. This article also summarizes key recent SEC proposals and rulings.
Assessing the Impact of U.S. Financial Regulatory Reform
Examine seven potential implications of the "Dodd-Frank Wall Street Reform and Consumer Protection Act."
SIFMA Systemic Risk Information Study
Understanding and managing systemic risk will be a key challenge for regulators and financial firms. This study examines what's needed to implement an effective systemic risk regulatory regime.
Winning in the New Risk Environment
This report takes a look at data aggregation in the banking and securities industy.
Regulatory Reform on the Horizon: Banking and Securities Outlook
New legislation could impose new systemic risk procedures, create a new consumer protection agency, and streamline regulatory agencies and procedures.
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