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    Dark pools and toxicity assessment
    (pdf, 1.26 MB)
    21 Jan, 2015 United States

    There is now a heightened global focus on the way dark pools operate and the level of controls they have to safeguard customers and investors.

    EY - Margin policy for non-cleared OTC derivatives Margin policy for non-cleared OTC derivatives
    (pdf, 300.93 KB)
    04 Dec, 2014 United States

    Proposed reforms will impose significant challenges across all functions of the collateral management life cycle. How can you prepare?

    Focus on AML in the securities industry
    (pdf, 1.33 MB)
    17 Sep, 2014 United States

    As anti-money laundering enforcement expands beyond banking institutions, securities firms must be ready for sweeping changes in how they are expected to mitigate AML risk.

    Portfolio performance now top of mind for clients
    (pdf, 324.85 KB)
    30 Jun, 2014 United States

    This Family Wealth Report covers findings from our Wealth Management Survey, including the increasing importance of goals-based financial planning.

    EY - The next generation of financial advisors The next generation of financial advisors
    (pdf, 208.27 KB)
    13 May, 2014 United States

    Wealth management faces a significant challenge as demographic and cultural shifts are increasing the demand for investment services and thinning the ranks of advisors.

    The evolution of borderless financial crime
    (pdf, 5.51 MB)
    21 Feb, 2014 United States

    The financial services industry is facing an emerging era of borderless, networked financial crime threats. Is the industry ready?

    Federal Reserve Bank details preparedness rules
    (pdf, 89.58 KB)
    10 Feb, 2014 United States

    On January 24, 2014, the Federal Reserve Bank (FRB) clarified heightened supervisory expectations regarding recovery and resolution preparedness for eight domestic bank holding companies.

    EY - Anti-money laundering issues for financial institutions Anti-money laundering issues for financial institutions
    (pdf, 444.50 KB)
    06 Feb, 2014 United States

    In this Financier Worldwide's TalkingPoint, Steve Beattie, a principal at Ernst & Young LLP, discusses anti-money laundering issues faced by financial institutions.

    EY - OCC issues Notice of Proposed Rulemaking OCC issues Notice of Proposed Rulemaking
    (pdf, 844.21 KB)
    31 Jan, 2014 United States

    New guidelines from the Office of the Comptroller of the Currency establish heightened standards for certain large national banks and other financial institutions.

    Swap dealer risk management and internal audit
    (pdf, 164.25 KB)
    23 Dec, 2013 United States

    The Dodd-Frank Act requires the risk and compliance functions of swap dealers and major swap participants to establish a risk management program (RMP).

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