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regulation

Regulation in the banking industry

What is the optimal amount of regulation? On the one hand, innovative applications may be nipped in the bud when there is too much regulation. On the other hand, too little regulation may have dire consequences. In order to allow for innovation in a secure framework, regulation has to be well-balanced.

abstract data stream as metaphor for navigating through the upcoming regulatory changes on the capital markets

MiFID III? Navigating through the upcoming regulatory changes on the capital markets

Despite being in force since 2018, many institutions still struggle to fully comply with MiFID II and MiFIR regulations. Recent supervisory actions conducted at
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Crypto market crisis boosts opportunities for banks

Crypto market crisis boosts opportunities for banks

Established financial institutions have good reason to continue their crypto projects. The current crisis in the crypto market is also an opportunity.
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AI Liability

AI Liability Directive: reversing the burden of proof?

What do the new rules mean for financial institutions? To what extent will the new AI Liability Directive affect the already highly regulated financial
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Cost management evolution

Cost management evolution

New models for cost governance in the context of market evolution, new competitive forces and regulatory requirements.
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MiCAR: the regulatory framework for crypto assets has been fleshed out

MiCAR: the regulatory framework for crypto assets has been fleshed out

The EC published its digital finance strategy on September 24, 2020. Its key element is the proposal for a Regulation on Markets in Crypto-assets
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AI applications: BaFin’s regulatory requirements

BaFin’s regulatory requirements for AI applications

LISTEN TO AUDIO VERSION: Supervisors focus attention on AI Banks must follow suit – BaFin defines minimum requirements for use
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EU taxonomy: sustainable or not?

The EU taxonomy: sustainable or not? That’s the question

The EU taxonomy for sustainable investments is the key basis for assessing the sustainability of economic activities and is relevant for several other EU
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abstract financial charts as metaphor for agile process management – processes reinvented

Agile process management – processes reinvented

Practicable implementation of agile process management
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Cybernetic eye with binary code as metapor for shaping a CDO unit

CDO agenda – shaping a CDO unit

competitive advantages through consistent alignment of organization and processes to data
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Straight-through processing: taking current opportunities and overcoming challenges

Case study: successfully implementing straight-through processing.
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icaap

ECB specifies ILAAP and ICAAP requirements

Significant consequences for implementation within banks.
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regulatory efficiency

Regulatory efficiency: Ten steps to get off the regulatory treadmill

A short guideline.
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IDD and MiFID II – regulatory requierements with major impact on the business models of banks and insurance companies

Both MiFID II and IDD can be relevant for banks and insurance companies.
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RegTech

Is RegTech the answer to regulatory efficiency?
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Data—from regulatory burden to strategic asset

Integrated architectures offer more than one response to regulatory requirements.
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Update: Analytical credit dataset of the ECB — AnaCredit

Further developing banking supervision based on granular credit data in reporting as of 2018.
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comprehensive assessments

ECB Banking Supervision Comprehensive Assessments (CAs)—Lessons learned

Overview & Outlook.
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BCBS 328

Sound Corporate Governance Principles For Banks (BCBS 328)

Consolidation of existing regulations with minor enhancements to risk governance.
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ERF BIRD SDD

ERF BIRD SDD — Proposal from the ECB for the future development of reporting

Long-term transition towards delivery of granular data.
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Data collection on exposures to shadow banks by the EBA

The guideline aims at limiting exposures to shadow banks to avoid concentration risks.
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Quantification and management of model risks against the backdrop of current regulatory requirements

Quantification and management of model risks against the backdrop of current regulatory requirements – Challenges of dealing with model risks
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Disclosure in the spotlight of supervision: improved transparency and market discipline or a rather incomprehensible data flood?

A complete overview of disclosure requirements for institutions
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EBA stress test: A second look

Capital ratios will stay under pressure.
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Regulatory Roadmap – Towards Strategic Regulatory Management

Trapped in the vicious circle of managing regulatory requirements
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Implementing compliance and CSR as a basis for sustainable sourcing and shared services

New challenges for sourcing and shared services
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Act on the recovery and resolution of financial institutions (SAG) – Recover plans for everyone

Banking supervision demands recovery and resolution plans to protect taxpayers
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SREP (supervisory review and evaluation process): Blessing or curse?

Consider supervisory review an opportunity
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Nuclear vs. Financial Market Meltdowns

How effective is government regulation in reducing high-consequence accidents?
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Forbearance Reporting – Challenges of a quick and efficient implementation of the ITS reporting

Extensive credit reporting due to forbearance requirements of FINREP
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Fundamental review of the trading book (FRTB) – A revised market risk framework

Overview of the most important changes for market risks under Basel 3.5
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Which banking topics are important for financial institutions?

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See concise visualizations of facts and figures from Research & Markets, Banking, Innovation & Digital.

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