Volcker Rule - Compliance Challenges and Approach

Waves of regulations continue to reshape industry investments in compliance. Each of these regulations is a game changer in its own right and expectation is that the regulatory burden will continue to grow. One such critical regulation that the banking and financial industry is keen on achieving compliance is Volcker Rule. 


The two key features of Volcker are:

  • Prohibits proprietary trading in securities and other financial instruments by banking entities ( with certain permitted activities)

  •  Prohibits banking entities from sponsoring or acquiring an ownership interest in covered funds (with certain permitted activities)

With tighter implementation timelines, it is essential that the banks and financial institutions devise a methodology to achieve compliance.

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