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Focus On

Service

Regulatory Practice

Financial services is one of the most heavily regulated industries in the world. Avantage Reply’s Regulatory Practice assists firms in understanding, implementing, and managing regulatory risk and requirements.

FOCUS ON: Risk, Regulation & Reporting,

In the aftermath of the financial crisis, regulators are now under increasing pressure to ensure a safe and stable financial system. As a result, firms have to contend with both a plethora of new regulations and a significant increase in the intensity of supervision. Understanding and taking control of regulatory challenges is a critical activity for firms; not only to avoid the negative consequences of non-compliance but also to allow them to get key decisions right, to change and shape their businesses to adapt and to achieve their commercial and strategic goals.

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We maintain a regular dialogue with local and European regulators to provide a cutting edge insight into current regulatory initiatives, changes and challenges. This enables us to help firms manage regulatory driven change across their business and also to understand the impact of regulation on new or changing business areas. We also help firms to ensure they are discharging their current regulatory obligations and to address any gaps identified. Finally, we have extensive experience in dealing with national and international regulators and frequently help firms to manage their routine and ad-hoc interactions with them.

Prudential Requirements

Examples of our areas of expertise include:

  • Basel III / Capital Requirements Directive & Regulation IV (CRD IV)
  • Bank Recovery & Resolution Directive (BRRD)
  • Common & Financial Reporting (COREP / FINREP)
  • Comprehensive Assessment (Asset Quality Review, Stress Testing, Supervisory Review)
  • European Markets & Infrastructure Directive (EMIR)
  • Fundamental Review of the Trading Book
  • Risk Data Aggregation & Reporting
  • Single European Payments Area (SEPA)
  • Solvency 2

To find our more, please contact

Conduct Requirements

Examples of our areas of expertise include:

  • Alternative Investments Funds Directive (AIFMD);
  • Indices used as benchmarks in financial instruments and financial contracts Regulation
  • Conduct Risk
  • Consumer Credit Regulation
  • Dodd-Frank Act (including Volcker rule)
  • Market Abuse Directive (MAD)
  • Markets In Financial Instruments Directive & Regulation 2 (MIFID/MIFIR 2)
  • Packaged Retail Investment Products (PRIPS)
  • Undertaking for Collective Investments in Transferable Securities V (UCITS V)

To find out more, please contact

RELATED CONTENTS

Stress tests

Briefing Note

BCBS/EBA: Latest Publications on Supervisory and Institution Stress Tests

This briefing note focuses on the key sets of guidelines on institutions’ stress testing, highlighting areas that banks should carefully evaluate to address the requirements in a timely fashion considering compliance and associated operational issues.

IRRBB

Briefing Note

EBA: latest developments regarding technical aspects of IRRBB

On the 31 October 2017, the EBA published a consultation paper. The objective is to consult on the revisions in the first quarter of 2018, targeting practical implementation by the end of 2018. This publication focuses on the implications of these latest developments for banks, highlighting areas that should be evaluated when addressing the requirements, considering all compliance operational issues.

18.12.2017 / Risk.net

Press Article

Basel delay does not ensure global FRTB consistency

The Basel Committee on Banking Supervision bowed to the inevitable on December 7, announcing a three-year postponement to the implementation of the FRTB, which had been due for January 2019. Lawmakers in the European Union had been thinking about delaying beyond that date, and the US transposition process has not even started. (Samuel Wilkes, Risk.Net)

 
 
 
 
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