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How Regulatory Reforms are Changing Governance, Risk Management, and Compliance in the Banking and Capital Markets Industry: Results of FSOkx’s GRC Survey

Executive Summary

The impact of regulations such as the Dodd-Frank Act, Basel III, and the OTC Derivative Regulation-among many others-are significantly impacting how banks and capital markets firms invest in the people, processes, and technology required for governance, risk, and compliance. This report, based on online surveys and personal interviews with senior level decision-makers in banking and capital markets firms, analyzes how the industry is responding to a changing regulatory environment and how business leaders in these firms are transforming their existing processes and technology platforms both to meet regulatory requirements and position their firm for growth.

Several key findings include:
  • Technology is lagging behind regulatory reality. Respondents from both the banking and capital markets industry agree that their current technology platforms to manage GRC are not adequate and they will need to re-engineer or invest in technology to meet regulatory requirements and enhance business value.
  • Data management remains a key focus area with almost three-quarters of respondents saying that consistent data classification and appropriate granulation is critical to GRC effectiveness.
  • Banks and capital markets firms are investing in end-to-end process identification, mapping, and modeling as part of their GRC transformation strategy.
For more survey results and analysis of the impact of regulatory reforms on banking and capital markets industry.