UBM: TECH DIGITAL RESOURCE LIBRARY

7 Critical Questions for Financial Services Firms

by CAPCO

Authored on: May 11, 2012

Download Despite uncertainty over the ultimate form and scope of the rules, smart financial services companies are moving ahead to prepare. Dodd-Frank is law, and many key provisions will be implemented regardless of how the next months' proceedings play out and political winds blow. The Volcker Rule will alter how banks trade and invest. The Collins Amendment will intensify capital requirements. The Lincoln Amendment will require some banks to spin off their swap desks.

A bias for action is understandable given the substantial new requirements and potential opportunities associated with reform. But companies could be making decisions and taking actions that prove to be ill advised once rules are issued. Capco has identified seven critical questions related to strategy, customer and counterparty disruptions, structure, and technology that board members and senior executives of financial services firms should consider as they measure the effectiveness of their regulatory reform programs.


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