Regulatory Compliance Solutions

Business Process Management
Corporate Performance Management
Customer Relationship Management
Enterprise Resource Planning
Enterprise Risk Management
Finance Management
Finance Transformations
Regulatory Compliance

An ever-increasing number of digital assets that your organization retains for active reference are subject to regulatory compliance. BIS provides your organization with regulatory compliance solutions that can mitigate risk, simplify data management, and benefit your bottom line.


Basel II is the second of the Basel Accords, which are recommendations on banking laws and regulations issued by the Basel Committee on Banking Supervision. The purpose of Basel II is to create an international standard that banking regulators can use when creating regulations about how much capital banks need to put aside to guard against the types of financial and operational risks banks face.

We believe that such an international standard can help protect your financial system from the types of problems that might arise should a major bank or a series of banks collapse. In practice, we attempt to accomplish this by setting up rigorous risk and capital management requirements designed to ensure that a bank holds capital reserves appropriate to the risk the bank exposes itself to through its lending and investment practices. The Basel II implementation:

  • Ensures that capital allocation is more risk sensitive;
  • Separates operational risk from credit risk, and quantifying both;
  • Attempts to align economic and regulatory capital more closely to reduce the scope forregulatory arbitrage.


In implementing the provisions of the Sarbanes-Oxley Act of 2002, many companies faced a serious dilemma in striking a balance between complying with the regulations, managing costs, and garnering benefits around improved internal controls. Five years later, Section 404 of the Act continues to place significant demands on CFOs and the C-suite to attain and sustain compliance. Many executives are also realizing the opportunity to leverage Sarbanes 404 compliance requirements for increasing shareholder value.

Smart companies complying with SOX for the first time want to learn from accelerated filers on how to achieve efficiencies. Our experts provide practical advice. Open-minded organizations are finding the pain of Sarbanes-Oxley compliance is yielding valuable operations insights, efficiencies and value.

Anti Money Laundering (AML)

According to a recent FBI report, lawmakers believe that 50% of the estimated billions of dollars that are laundered worldwide each year will pass through American banks.

The BIS Anti-Money Laundering Service verifies the identities of businesses and their authorized agents and allows you to quickly pinpoint information on millions of businesses. You'll have access to active and inactive records of incorporation as well as pending filings, UCC liens, limited partnerships, limited liabilities, DBAs, incorporations, and Dun & Bradstreet and Experian business information.

Financial institutions around the world face increasing regulatory pressures to meet AML compliance requirements. BIS Risk & Information Analytics Group offers compliance management solutions that can be integrated into any of our fraud prevention tools in order to streamline your compliance.


Corporate Governance and Risk Management

BIS is well positioned to assist corporations in conducting “self audits” of their corporate governance practices. BIS’s governance consultants not only have the proficiency to expose the gaps between a corporation’s current governance practices and best practice guidelines, but they also have detailed knowledge of structured finance, quantitative modeling and risk analysis in the financial markets. These combined skills provide clients with a value added benefit as they undertake the initiatives to close the gaps.

BIS’s Risk Management Consultants provides professional consulting, technical and training services in the area of risk management, safety, loss control engineering, security, fire and environmental protection.

Our client focus includes risk managers, insurance companies, insurance brokers, commercial and industrial businesses, business associations, educational institutions and government agencies in North America.

BIS’s Risk Consultants is represented by a highly respected, experienced group of professionals, who maintain globally recognized certifications and diplomas in various risk management and related business fields.

We provide practical and sound advice addressing our client’s greatest concerns: people, property, public image, business stability, financial assets and the environment. Products and services are delivered on time and on budget, in a professional and ethical manner.


Regulatory and Statuary Reporting

BIS is the premier provider of regulatory reporting software solutions to the financial industry. Our Regulatory Reporting Suite (RRS) is a complete system addressing the large position regulatory disclosure needs of global institutional investors. Many institutional investors still rely on largely manual methods of compiling, reviewing and filing position disclosure reports. For many firms, frequent organizational re-alignments and the increasing globalization of investment strategies has made traditional reporting operations unwieldy and error prone. In addition, global marketplaces are frequently redefining position disclosure requirements using country specific holdings thresholds and varying reporting frequencies thus increasing the burdens on compliance departments. Our RRS streamlines the regulatory position disclosure process while vastly improving the accuracy and timeliness of such reporting.

RRS delivers an integrated facility that manages the compliance process surrounding the capture, aggregation, testing and review of position information and generates complete regulatory documents ready for submission. RRS is a highly extensible product engineered to address new jurisdictions, solve evolving reporting requirements and support ad hoc data mining. BIS plans to aggressively incorporate additional jurisdictions into RRS to maintain its posture as the pre-eminent producer of global regulatory reporting solutions.

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