Publications

Article 24 Jun 2020 5 minutes read

When FINRA asks to speak to your Supervisor…

FINRA requires all broker-dealers to have a supervisory framework in place that is “reasonably designed” to comply with applicable rules and regulations.

Article 24 Jun 2020 5 minutes read

Economic Capital in the light of Basel II 2nd pillar requirements

Established by the Bank for International Settlement through the Basel committee on banking supervision, Basel II 2nd Pillar directives on Supervisory Review were designed primarily to make sure that banks estimate their equity needs as accurately as possible, taking into account their risk profile.

Article 24 Jun 2020 5 minutes read

EMIR vs. Dodd-Frank: Distinct, Yet Closely Related

Since the publication of the Technical Standards at the end of 2012, market participants have started tailoring their projects and action plans in order to comply with EMIR's requirements.

Article 24 Jun 2020 4 minutes read

CVA calculation: the Basel Committee is re-opening the discussion

The third Basel Accord, Basel III, is the latest in a line of regulations introduced by the Basel Committee for Banking Supervision (BCBS) to combat the misconduct in the financial system.

Article 24 Jun 2020 7 minutes read

Study of the Belgian Bank Branches: A Physical Network under Pressure

With the rise of digital banking solutions like mobile banking and e-banking and new players like Neo-Banks entering the market, branches are seeing a decline in number of visitors.

Article 24 Jun 2020 6 minutes read

OCC Guidance on Third Party Risk Management Practices

In June, the OCC updated their guidance on third party risk management to address the growing number of bank-fintech relationships.