Regulatory Impact Assessment in the Global Market

1. Regulatory Impact Assessment in the Global
Market
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2. Alleviate the Mushrooming of non-compliant variants navigating across the global market.
Managing Regulatory Arbitrage on a Global Corporate Spectrum.
Maintain Industry Ethos and adopt a Governance Culture seeking transparency.
Regulating Rehypothecation Strategies and undertaking Impact Analysis through Blueprint of
Regulatory Reforms.
Provision of Regulatory Services portray a favourable growth trend upon a client’s portfolio ,
impacting the overall business structure.
Diminishes proliferation of regulatory complexities.
Substantial regulatory advisory services prevail in the global market , impacting a magnitude of
clientele in accordance to respective business model mix and strategy imlementation.
Regulatory Services’ Critical Features
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3. Challenges
•Capital Funding
Management
•Mergers and
Acquisitions
•Investment
Diversification
•Secondary
Markets
•Monetary
Policy Impact
on decision
making
Decision
Analysis
•Economies of
Scale
•Pre and post
amalgamation
variants
•Stress Testing
•Investment ,
Integration and
Divestiture
Regulatory
Requirements
•Financial
Repression
•Structure of
Financial
Intermediaries
Strategies
•Synergy
Analysis
•Allocation of
Liquidity
Buffers
•Liquidity
Savings
Mechanisms
•Funding
Diversification
•Recalibrating
Portfolios
•Assessment of
Liquidity
Premium
Implementation
•Macro Prudential
Policies
•Crisis
Management
•Development of
Capital Allocation
Policies
•Stop Loss
Measures
•Diversification
through Side
Pockets
Business
Impact
•Counter
cyclicalCapital
Buffers
•Curtails Price
Volatility
•Addresses
Externalities
•Curtails
Operational Risk
•Mitigates
insolvency risk
•Alternative
Settlement
Schemes
And Payment
Options
Benefits
•Consistent and
Improved
Wealth
Management
•Sustainability
Management
•Portfolio
Optimization
•Mitigates
Financial Loss
•Catalyst for
Development
•Mitigates
Reputational
Risks
Key Regulatory Services:
1. Liquidity and Capital Management Regulatory Services
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4. 2.Financial Markets Structures Regulatory Services
Challenges
• Impact of
Global financial
market
evolution on
an entity’s
Business
Model Mix
•Financial
Market
Segmentation
•OTC
Derivatives
Markets
•Macro
Economic
Stability
•Legal Reforms
Decision
Analysis
•Collateral
Management
•Mitigate Insider
Trading ,
Proprietory
Trading , Short
Selling
•Eliminate a rise
in Hurdle Rate
•Research
Model Portfolios
•Maintain
compliant
portfolios
towards Capital
Funding
Strategies
• TacticalAsset
Allocation
•Credit Rating
Agencies
Methodologies
•Adoption of Pro
Active
Compliance
Monitoring
•Allocating
business units
to risk centres to
highlight KRIs
(Key Risk
Indicators)
•Vetting Complex
Transactions
•AIFMD Adoption
•Securitization
Model
•Internal Control
Audits
•Pricing
Regulations
•Identification of
Outlier
Investments
•Mandatory STR
(Suspicious
Transaction
Reporting)
•Broker Dealer
Compliance
Management
Business
Impact
• Covergence
between Risk
Reporting and
Accounting
• Enhanced
Governance
• Minimizes
Financial
Costs
• Generating
effective
Return to Risk
Mix
• Risk Resilient
Culture
Benefits
•Economic
Growth
•Enhanced
Investor
Education
•Transparent
Information
Environment
•Customer
Base
Expansion
Implementation
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5. 3. Migration Management Regulatory Services
Challenges
• Undertaking
GAP Analysis
• Fiduciary
Asset
Management
Reporting
• Adoption of
BASEL III
• FATCA
• UCITS
• AIFMD
Decision
Analysis
•Market
Fragmentation
•Risk Pooling
Mechanisms
•Margins and
Operating
Capacity
•Macro
Prudential
Tools
•Anti-Money
Laundering
•International
Disclosures
Strategies
•Change
Management
•Provision of
Bespoke
solutions to
mitigate
financial and
operational risks
•Financial
Innovation
•Assurance
Mapping
•Scenario
Analysis
Implementation
•Policy Impact
Assessments
•Corporate
Governance
•Evaluation of all
lines of defence
•Development of
Macro Prudential
Framework
•Discretionary
Investment
Management
Program
•Legal and
Secretarial
Compliance
Management
Business
Impact
•SophisticatedP
roject
Management
•Mitigates
Systematic
Risk
•Streamline the
client’s Risk
Structure and
Process Flows
•Transparency
within the
Business
Model
•CASS
Compliance
Benefits
•Controlled
Leverage
•Alleviates
prospective
non-
compliances in
the framework
•Operational
Innovation
•Competitive
Advantage
•Effective
Control
Environment
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6. 4. Cyber Security and Data Analytics Regulatory Services
Challenges
•Loss of Critical
Intellectual
Property
•Loss of
Customer Base
•Obstructuion in
internal
transaction
settlement
Decision
Analysis
•Monitoring
Outsourced I.T
services
•Due Diligence
Monitoring of
Shared
Affiliations and
Shared
Services
•Framework
Profile to align
functions ,
categories ,
risk tolerance
and resources
Strategies
•Cyber Security
Monitoring
Framework
•Disaster
Recovery Plans
•Sustainsable
Data Analytics
Applications
•Integration of
Cyber Threat
Regulations
in the
Business Model
Implementation
•Integration of cyber
security risk
management
program
•Recovery
Response Time
•Adoption of
Applicable
Data Protection
and Privacy Acts
•Monitor Current to
Target Regulatory
Policies
Business
Impact
•Simplification
and
Diversification
of Recovery
Modules
•Mitigates
Financial
Crime
•Eliminates the
risk of system
firewall
deterioration
Benefits
•Mitigates
Reputational
Risk
•Alleviates
Technology
Risk
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7. 5. Carbon Finance Regulatory Services
Challenges
• Global
Environmental
Change
•Infrastructure
•Operations
•Market
Participants
Decision
Analysis
•KYOTO
Protocol
•Global Climate
Change
Variants
•Stakeholder
Expectations
•Cost Benefit
Analysis
Strategies
•Global
Reporting
Initiative
•Carbon
Emissions
Trading
•Integration
between
Compliance
Benefit
Proportion
Implementation
•Strategic
Sustainability
Workshops
•Cohesive Supply
Chain Modules
•Energy
Conservation
Compliance
•Contingency Plans
•Economic and
Efficient use of
Resources
Business
Impact
•LTV
(Lifetime
Value) in the
Business
Process Cycle
•Global Change
in Business
Behaviour
•Performance
Improvement
through
Carbon
Footprint
Reporting
Benefits
•Corporate
Social
Responsibility
•Regulated
Supply Chain
•Increased
Efficiency
•Mitigates Risk
of Market
Abuse
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