Risk & Regulation

Creating transparency.

You you have to know the rules in order to follow them.

The banking world has undergone major changes in the last few years due to the regulatory requirements. The continuous and rapid development of bank and capital market regulation is accompanied by continuously evolving as well as new requirements that have to be fulfilled by the affected financial institutions. New requirements of the calculation of equity requirements for market and credit risk and transaction-based reporting to the notification register are two examples of new qualitative requirements. 

With the SFTR, Brexit and the Benchmarks Regulation and the associated replacement of reference interest rates by new risk-free interest rates, additional regulatory provisions are around the corner. The result is that the product design, processes and systems of financial institutions will undergo critical changes. The more stringent requirements placed upon risk-controlling processes thus lead to a significant need for the banks to adapt. 

Our experts observe and analyse all new regulatory requirements. From this, we derive the relevant changes for our clients. Based on what we learn, we develop implementation-oriented strategies and concepts which we tailor precisely to our clients and their needs. We not only support you in the integration of new regulatory requirements and their implementation, but we also provide comprehensive consulting with regard to change management and the further development of your IT systems.

firstwaters - implementing

Risk & Regulation - More than just an obligation.

  • Design and implementation of model-based equity requirement calculation
  • Analysis and implementation of regulatory requirements
  • Implementation of transaction-based standard and ad-hoc reporting in Capital Markets and Treasury
  • Implementation of risk and regulatory reporting using standard software
  • Assurance of data availability and quality, data transformation in reporting structures
  • Support in the preparation and coordination of audit reviews and stress tests

Meeting compliance requirements through comprehensive reporting.

Integration of a Regulatory Reporting Hub to comply with MiFID II and EMIR

Within the framework of MiFID II, an international exchange group headquartered in Frankfurt decided to set up a reporting hub aimed at the fulfilment of transparency and reporting obligations for their clients.

Business design and implementation of the initial margin requirements

Firstwaters supports a number of banks in analysing the business requirements related to initial margin and advises on the technical implementation in the existing banking systems.

Implementation of risk and regulatory reporting in Capital Markets and Treasury

Since the financial crisis, many new reporting requirements have been issued and defined by the supervisory authorities as part of the EU-wide harmonisation of banking and capital market regulations. In the past few years, Firstwaters has supported a number of banks and financial service providers in the successful implementation and generation of these requirements.

Let's talk.

For further insights, get in touch with our experts regarding the subject of risk and regulation.


Michael Bretz

+49 6021 4 54 84 54