Your Shopping Cart
Compliance Regulations and Guidance Affecting your Industry
Get trained on regulations affecting your industry through online webinars, learn the best practices, and download quality standards, checklists and news articles. Listen to experts on best practices to streamline quality and compliance processes and meet the regulatory demands.Categories
Compliance Trainings
![](/images/products/medium/702455.jpg)
Employee Expense Reimbursement Fraud: Detection, Prevention and Deterrence
By - Peter Goldmann
On Demand Access Anytime
By - Peter Goldmann
On Demand Access Anytime
![](/images/products/medium/702866.jpg)
Credit card surcharging - who is going to do it and what are the stipulations for compliance?
By - Ray Graber
On Demand Access Anytime
By - Ray Graber
On Demand Access Anytime
![](/images/products/medium/703262.jpg)
![](/images/products/medium/703455.jpg)
![](/images/products/medium/704599.jpg)
Managing AML/KYC Compliance Risk - CDD/EDD, Transaction Monitoring and More
By - Doug Keipper
On Demand Access Anytime
By - Doug Keipper
On Demand Access Anytime
![](/images/products/medium/704662.jpg)
The Australian AML/CTF Act - Preparing for an Independent Review
By - David Harley
On Demand Access Anytime
By - David Harley
On Demand Access Anytime
![Please Wait.... Loading....](https://www.complianceonline.com/images/newUI/images/ajax-loader.gif)
Proposed European Commission Anti-Money Laundering and Anti-Terrorist Financing Directive
- Industry: Banking and Financial Services
A proposal for a Directive released by the European Commission on the prevention of use of the financial system for the purpose of money laundering and terrorist financing.
New Zealand Anti-Money Laundering and Countering Financing of Terrorism Act 2009
- Industry: Banking and Financial Services
The purposes of this Act are—
- to detect and deter money laundering and the financing of terrorism; and
- to maintain and enhance New Zealand’s international reputation by adopting, where appropriate in the New Zealand context, recommendations issued by the Financial Action Task Force; and
- to contribute to public confidence in the financial system.
Accordingly, this Act facilitates co-operation amongst reporting entities, AML/CFT supervisors, and various government agencies, in particular law enforcement and regulatory agencies.
New Zealand Insurance (Prudential Supervision) Regulations 2010
- Industry: Banking and Financial Services
The purpose of the New Zealand Insurance (Prudential Supervision) Act is to:
- promote the maintenance of a sound and efficient insurance sector; and
- promote public confidence in the insurance sector.
New Zealand Risk Management Programme Guidelines for Non Bank Deposit Takers
- Industry: Banking and Financial Services
This document provides guidance to non-bank deposit takers in New Zealand in relation to the risk management programme requirements established under section 157M of the Reserve Bank Act 1989. Part 2 of this document notes some considerations in relation to risk management programmes and Part 3 provides some guidelines on how to interpret the main categories of risk set out in section 157M.
New Zealand Deposit Takers (Credit Ratings, Capital Ratios, and Related Party Exposures) Regula ....
- Industry: Banking and Financial Services
These regulations require deposit taking finance companies, building societies and credit unions in New Zealand to maintain a minimum capital ratio, and to limit the amount of credit they can provide to related parties.
New Zealand Capital Adequacy Framework (Internal Models Based Approach) (BS2B)
- Industry: Banking and Financial Services
This document sets out the methodology to be used by locally incorporated registered banks in New Zealand that have been accredited to use the internal models based approaches to calculating capital ratio requirements. This methodology is to be used for the purposes of determining these banks’ compliance with conditions of registration relating to capital and for disclosing information about capital.
New Zealand Capital Adequacy Framework (standardised approach) (BS2A)
- Industry: Banking and Financial Services
This document sets out the methodology to be used by locally incorporated registered banks in New Zealand that have adopted the standardised approach for calculating capital requirements. This methodology is to be used for the purposes of determining these banks’ compliance with conditions of registration relating to capital and for disclosing information about capital.
Australian Anti-Money Laundering and Counter-Terrorism Financing Act 2006
- Industry: Banking and Financial Services
Australia’s legal framework to detect and deter money-laundering and terrorism, namely, the Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (AML/CTF Act) lays down the obligations that are supervised and regulated by the Australian Transaction Reports and Analysis Centre (AUSTRAC).
EBA Guidelines on Internal Governance
- Industry: Banking and Financial Services
The European Banking Authority (EBA) has published its new Guidelines on Internal Governance. These aim at enhancing and consolidating supervisory expectations and improving the implementation of internal governance arrangements for individual institutions and the banking system as a whole.
UK FSA Risk Assessment Framework ARROW
- Industry: Banking and Financial Services
The Financial Services Authority (FSA) is a risk-based regulator and ARROW is the framework it uses to make risk-based regulation operational. ARROW stands for the Advanced, Risk-Responsive Operating Framework and covers all risks, firm-specific, thematic and internal.
UK Financial Reporting Council Turnbull Guidance - Revised 2004
- Industry: Banking and Financial Services
'Internal Control: Guidance to Directors' ("the Turnbull guidance") sets out best practice on internal control for UK listed companies, and assists them in applying section C.2 of the UK Corporate Governance Code.
Federal Reserve Proposed Rule 2011 - Prudential Standards and Early Remediation Requirements fo ....
- Industry: Banking and Financial Services
On December 20, 2011, the Federal Reserve proposed new rules that would strengthen regulation and supervision of large US bank holding companies and systemically important nonbank financial firms.
Australian Prudential Standard 112 – Capital Adequacy: Standardized Approach to Credit Risk
- Industry: Banking and Financial Services
The Australian Prudential Standard 112 – Capital Adequacy: Standardized Approach to Credit Risk aims at ensuring that “ensure that an authorized deposit-taking institution holds sufficient regulatory capital against credit risk exposures.”
Australian Prudential Standard 110 – Capital Adequacy
- Industry: Banking and Financial Services
The Australian Prudential Standard 110 – Capital Adequacy aims at ensuring that “authorized deposit-taking institutions maintain adequate capital, on both an individual and group basis, to act as a buffer against the risks associated with their activities.”
COREP Reporting Framework - Operational Risk - Template
- Industry: Banking and Financial Services
Almost 30 European countries have adopted Common Reporting (COREP), the prudential reporting framework for credit institutions and some investment firms. The EBA has made COREP the standardized reporting framework from 31 December 2012.
This template has to be used when reporting operational risk.
COREP Reporting Framework - COREP Market Risk - Template
- Industry: Banking and Financial Services
Almost 30 European countries have adopted Common Reporting (COREP), the prudential reporting framework for credit institutions and some investment firms. The EBA has made COREP the standardized reporting framework from 31 December 2012.
This template has to be used when reporting market risk.
COREP Reporting Framework - Explanatory Notes for Reporting Templates
- Industry: Banking and Financial Services
Almost 30 European countries have adopted Common Reporting (COREP), the prudential reporting framework for credit institutions and some investment firms. The EBA has made COREP the standardized reporting framework from 31 December 2012.
This document explains the terms used in the COREP templates.
COREP Reporting Framework - Documentation of Changes - Template
- Industry: Banking and Financial Services
Almost 30 European countries have adopted Common Reporting (COREP), the prudential reporting framework for credit institutions and some investment firms. The EBA has made COREP the standardized reporting framework from 31 December 2012.
This template has to be used when documenting changes.
COREP Reporting Framework - Credit Risk - Template
- Industry: Banking and Financial Services
Almost 30 European countries have adopted Common Reporting (COREP), the prudential reporting framework for credit institutions and some investment firms. The EBA has made COREP the standardized reporting framework from 31 December 2012.
This template has to be used when reporting credit risk details.
COREP Reporting Framework - Capital Group Solvency Details - Template
- Industry: Banking and Financial Services
Almost 30 European countries have adopted Common Reporting (COREP), the prudential reporting framework for credit institutions and some investment firms. The EBA has made COREP the standardized reporting framework from 31 December 2012.
This template has to be used when reporting capital group solvency details.
You Recently Viewed