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Securities and Banking Update archive


Securities and Banking Update was a predecessor to Banking and Capital Markets Insight. This monthly publication focused on developments in the banking sector including regulation, tax, commercial issues and market trends. Download our previous publications.

Deloitte Image   Securities and Banking Update - December 2007
Provides an overview of 2007 and looks at some of the impacts of the credit crunch on banks. The articles cover: End of year round up of issues and a summary of key financial, regulatory and operational issues for 2008; The contrasting position of IFRS and US GAAP in respect of the disclosure of conduits and securitisation vehicles in statutory reporting; and how to gain the best tax effect utilising any losses arising from credit issues.
Securities and Banking Update - December 2007
Deloitte Image    Securities and Banking Update - November 2007
Issue dedicated to the hedge fund sector and its risk management and valuations challenges and OTC derivative operational issues. The articles cover: the indicators of potential control weaknesses and valuation issues for hedge fund managers and what you can do to monitor them; the recent strides made by the derivatives firms in the reduction of outstanding confirmations, and future controls focus on further automation; and the HFWG proposals for valuation procedures and core controls.
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Deloitte Image    Securities and Banking Update - October 2007
Unusually this edition contains just one article covering the drive to bring finance and risk departments in financial institutions closer together and to achieve synergies. This analysis is interspersed with topical commentary from leading professionals from RBS and Deutsche Bank, and Kari Hale, who recently rejoined Deloitte after three years as a Director at the FSA.
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Deloitte Image    Securities and Banking Update - September 2007
Focuses on the developments in interaction with retail banking customers throughout the client relationship. Articles cover the following areas: the continuing importance of bank branches as sales platforms, and strategies for making them more efficient and cost-effective; the continuing use of, and increasing mainstream interest in, biometrics as a means of customer authentication and protection; and the potential for, and the difficulties in, establishing a mobile phone based payments infrastructure in mature markets like the UK.
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Deloitte Image    Securities and Banking Update - August 2007
Covers merger and integration activity and specifically: the perils and pitfalls of good merger integration and the achievement of synergies from transactions most effectively; the impact of anti-money laundering issues on merger and acquisition activity and potential approaches to minimise reputational issues; and some common sense thoughts from the FSA on how to get the best from your compliance effort in globally integrated investment businesses – whether in the midst of transactions or in steady state.
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Deloitte Image    Securities and Banking Update - July 2007
This issue is focused around governance and in particular provides: an analysis of the systematic and internal control requirements in maintaining an appropriate senior level control over reconciliations and the reasons for a build up in reconciling items; advice on how to use technology to achieve a common approach to governance, risk and compliance; and the link between the Treating Customer Fairly initiative, principles based regulation and good governance.
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Deloitte Image    Securities and Banking Update - June 2007
Our three articles cover the following aspects of outsourcing: as the threat of fraud grows, the regulators including the FSA, under the influence of new EU legislation like the MiFID and CRD, are taking a much closer interest in controls over outsourcing; the results of the Deloitte fourth annual global offshore survey, which shows some interesting divergences in the performance of a small number of outperformers and the rest of the market place; and gaining VAT benefits from the structuring of your offshoring initiative.
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Deloitte Image    Securities and Banking Update - May 2007
This issue looks at some of the diverse challenges currently affecting financial institutions including: value creation in the mortgage industry through a strategic transformation approach; whether the highly active and agile private equity industry will start targeting banks; and the urgent need for firms to start addressing their ICAAP documentation responsibilities.
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Deloitte Image    Securities and Banking Update - April 2007
This editions covers: the challenge of data protection, whether actual or as perceived by the customer, for retail banking institutions; some “finer print” issues coming out of the Budget, in particular in respect of sale and repo transactions, effects on lessors and deferred tax; and the preparations required by investment firms in order to achieve an appropriate level of disclosure under the Basel Pillar 3 requirements.
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Deloitte Image    Securities and Banking Update - March 2007   
Further insight into managing regulatory change effectively. Articles cover: the challenges for regulated firms, just as much as the FSA, in adopting principles based regulation; best execution in dealer markets and the need post MiFID to clearly delineate when that duty is owed; and the Pillar 1, 2 and 3 preparations needed as part of firms’ adoption of the Capital Requirements Directive prior to 1 January 2008.
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Deloitte Image    Securities and Banking Update - February 2007
The theme of this edition is managing change effectively, both regulatory change and product innovation in design of card technology. We discuss: the challenges of adopting the FSA common platform policies and procedures and building them into the business process; the innovations being made with “contactless” and “Prepaid” card solutions for low value purchases; and the “virtuous circle” of better business practice and enhanced customer loyalty which can arise from the FSA’s treating customers fairly initiative.
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Deloitte Image    Securities and Banking Update - January 2007
In the January edition, we focus on current FSA messages around principles based regulation, regulation of hedge funds and the abolition of the year-end auditors’ reporting requirement on firms’ financial rules compliance.  We also look at future prospects for retail banking business growth and mergers activity in 2007.
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