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The essential ebook for senior decision-makers at financial institutions...

For many financial institutions, the operating environment has changed significantly in the years following the global financial crisis and recessions such as the Eurozone crisis.

The initial impact of these events brought severe financial distress for many institutions – often involving bailouts and consolidation following large credit and market losses or liquidity events. But the more lasting effect has been to produce a profound shift in the regulatory environment.

This shift has seen regulators take more robust action towards ensuring that systemic risks to the financial system are adequately managed and customers are suitably protected – a stance closely aligned with current political attitudes.

As a result, financial institutions, and banks in particular, have been dealing with a raft of new regulatory initiatives and changes which have impacted the way they operate. In some cases this has created further uncertainty. For example, Basel III has driven an increase in the quantity and quality of core Tier 1 capital, leading to the imposition of restrictions on leverage and liquidity requirements. Additionally, the enhanced regulatory environment has resulted in proposals being made in a number of countries that could result in the ring-fencing of retail banking operations from more risky activities, such as investment banking. Changes such as these, alongside ongoing cross-border regulatory compliance, place a significant burden on financial institutions.

CONTENTS  (over 320 pages)

CHAPTER ONE RISK MANAGEMENT

CHAPTER TWO CYBER & DATA RISK

CHAPTER THREE FRAUD & CORRUPTION

CHAPTER FOUR SANCTIONS

CHAPTER FIVE FINANCE & INVESTMENT

CHAPTER SIX AIFMD

CHAPTER SEVEN ASSET MANAGEMENT

CHAPTER EIGHT PAYMENT SERVICES

CHAPTER NINE GOVERNANCE & OVERSIGHT

CHAPTER TEN COMPLIANCE CHALLENGES

IN ASSOCIATION WITH 

CONTRIBUTING FIRMS

AlixPartners, LLP

Allens

AZB & Partners

Aztec Group

BDO LLP

Bibby Financial Services

Bonn Steichen and Partners

Clarus Risk

Deacons

Dechert LLP

Dentons UKMEA LLP

DLA Piper UK LLP

Eversheds

Fasken Martineau Dumoulin LLP

FTI Consulting

Gibson, Dunn & Crutcher LLP

Global Risk Management Advisors, Inc.

Harneys

Hassans International Law Firm

i-KYC Singapore

King & Wood Mallesons LLP

Knierim | Huber Rechtsanwälte

Laven

Law Square bcvba

Macfarlanes LLP

Maclay Murray & Spens LLP

Marks Paneth LLP

McKeever Rowan

Moore Stephens LLP

Morgan, Lewis & Bockius LLP

Morrison & Foerster LLP

Norton Rose Fulbright LLP

Ogier

Oliver Wyman

Peters & Peters Solicitors LLP

PwC

Ropes & Gray LLP

Shearman & Sterling LLP

STEPS Consulting

Taylor Wessing

Travers Smith LLP

Vedder Price

Wiley Rein LLP

Withers LLP