Whilst many firms may think that their Compliance arrangements are purring along just nicely thank-you-very-much, there are not many who can say – never mind actually evidence – that their Compliance function is doing everything just right. Compliance departments, in this very changeable world, are not immune to the need to grow, develop, and improve. Senior management will want to …
Following the financial crisis, both securities lending and repurchase transactions came under increased scrutiny as they were perceived to have contributed to the build-up of hidden leverage in the market. Regulators sought to introduce Securities Financing Transaction Regulation (SFTR), covering three key requirements: transaction reporting, disclosure obligations and collateral reuse obligations. SFTR is a sweeping mandatory change for the securities …
An exploration of the potential modifications the OCC will make to the Volcker Rule to reduce the burden on banks whilst still serving its original purpose.
A brief exploration of some of the challenges to implementing the Fundamental Review of the Trading Book (FRTB).
With 6 months until GDPR becomes enforceable, New Link Consulting explores the questions you should be asking of your business to confirm compliance.
An interview with David Newland, Head of Industry Solutions and Partner at New Link Consulting, to find out what impact the FX Global Code will have on organisations.
A discussion on effective control frameworks to mitigate inappropriate activity.
The importance of knowing your customer and how to interpret the regulation.