Regulatory changes and risk exposure If you are looking at a long career in the compliance business, you cannot help but notice how things have changed over the last decade or two. Everything is bigger and more complex nowadays, isn’t it? At the turn of the millennium the typical compliance department in many financial institutions …
Staying on top of regulatory changes and risk exposure Read More »
The German financial regulator BaFin has published the latest edition of its BaFinJournal (in German), its monthly specialist magazine and main news bulletin that consists of expert articles, interviews and reports on key national and international supervisory issues as well as official announcements. The March edition focuses on credit score, Solvency II for insurers, alternative …
BaFin’s focus on RegTech – Just another summary or something to talk about? Read More »
Be it the recent surge in cyber-attacks on financial institutions, the technical glitches that lead to flash crashes on trading venues, high numbers of fraudulent behaviour or simply the complexity of todays systems that comes with a significant probability of instability – the management operational risk has become one of the key priorities at financial …
Managing Operational Risk in the Age of Digital Innovation Read More »
Open Source is one of the key drivers of FinTech innovation, but it comes with a number of risks though and an effective Open Source Software Compliance framework is a must for all companies employing OSS. Here is why. Open Source Software is one of the key drivers of FinTech innovation and estimates from a …
If you hadn’t noticed, we live in risky times. At least that’s what the European regulator ESMA is saying. With equity markets experiencing increased levels of volatility, cryptocurrencies in outright turmoil, constant threats to cybersecurity, and geopolitical issues like Brexit, Italy’s budget crisis or global trade wars, the financial watchdog is rather concerned about and …
Risky Business or the takeaways from the latest ESMA Risk Dashboard Read More »
The European Banking Authority (EBA) launched today a public consultation on its draft Guidelines on outsourcing. These Guidelines, which review the existing CEBS Guidelines on outsourcing published in 2006, aim at establishing a more harmonised framework for outsourcing arrangements of all financial institutions in the scope of the EBA’s action. The draft Guidelines provide a …
Vendor Management Compliance is an increasingly important aspect for financial institutions and it is getting more and more complicated, too. New regulations further add to the challenge, but establishing the right framework is also an opportunity. An introduction to Vendor Management Compliance Vendor Management Compliance is an increasingly important aspect for companies. Why? Well, take …
How to improve Vendor Management Compliance and soften the Impact of New Regulations Read More »
Why do you need Cryptocurrency Risk Management? One day the value of your portfolio is up 10%, the next day it may be down 20%. Cryptocurrencies are extremely volatile, highlighted by recent events. All the more, it is important to have an effective risk management for your token investments to make sure you don’t loose …
The digital revolution is here, but banks are ill-prepared to deal with the many facets of change. Regulators usually do not seem to be the ones driving the change in positive way, but sometimes things are different. A kind of paradigm shift at the German financial regulator might actually help financial institutions and insurers to …
The Need for more Tech Know How in Banks’ Boardrooms Read More »
The European Banking Authority (EBA) published today a Discussion Paper on the implementation in the European Union (EU) of the revised market risk and counterparty credit risk frameworks, i.e. the Fundamental Review of the Trading Book (FRTB) and the Standardised Approach for Counterparty Credit Risk (SA-CCR). This paper discusses some of the most important technical …
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