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Navigating risk and regulatory complexity in banking and capital markets

Dodd-Frank, Basel lll, FATCA: These and other new regulatory and compliance requirements will fundamentally impact financial institutions' business and operating models as well as their capital & liquidity management. PwC helps clients answer those challenges by identifying emerging regulatory developments and best practices for addressing new regulations and providing support, advice, and assurance to help manage regulatory risks. We also help minimize the costs and disruptions associated with regulatory compliance while maximizing the competitive and strategic opportunities resulting from regulatory change.

PwC can assist clients in operationalizing a comprehensive risk and compliance structure across the enterprise that responds to the significant regulatory change underway.

Some issues institutions should consider:

  • How to cost effectively deal with risk and regulatory requirements
  • How to address a new or newly enforced compliance requirement
  • How to identify, evaluate, and mitigate unacceptable levels of risk (market, credit, foreign exchange, operational, reputation)
  • How to improve measurement of risk and economic capital determination
  • How to improve strategic decisions and capital allocation through evaluation of risk as well as return
  • How to see that the board has adequate oversight of risk and compliance matters
  • How to construct an effective risk and regulatory governance structure
  • How to optimize the existing investment in risk and regulatory-related technology infrastructure

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Peter Pollini

Banking and Capital Markets Consulting Leader, PwC US

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