LONDON – Roger Guy, co-head of hedge fund operations at Gartmore, has claimed the UK asset manager’s internal compliance controls are “excessive”. Guy’s co-head, Guillaume Rambourg, was fined...
This white paper looks at the heavy impact of regulation on investment managers, the mitigation of outsourcing risk, inefficiencies in corporate actions processing and the growing importance of collateral management.
More David Benyon articles
A report from the US Securities and Exchange Commission (SEC) says the Stanford fraud was ignored for a decade because it was too big and too complex.
An SEC proposal targets high-frequency trading and fund managers in particular.
Lib Dem leader Nick Clegg has committed his party to punitive unilateral bank bonus regulations in the UK election race.
Inadequate reporting systems and controls to prevent market abuse leads to £4.2m fines for three London firms.
Inter-agency funding guidance from US federal banking agencies seeks to learn lessons from the liquidity crisis.
Royal Bank of Scotland (RBS) has settled with the OFT for breaking competition rules with Barclays
The G-20 FSB says financial pay structures are still evolving globally but that progress is good
LONDON – A UK High Court judge has found in favour of inter-dealer broker Tullett Prebon after it accused rival BGC Partners of an “unlawful conspiracy” to poach its top employees. The ruling by...
PARIS – French bank BNP Paribas is launching a virtual training academy in an effort to bolster risk awareness within the group. The Risk Academy is formed of three parts. The first focuses on improving...
This whitepaper reviews the fundamental changes of Liquidity Risk Management under Basel III. It discusses how institutions can meet the regulatory requirements on liquidity risk management by enhancing their liquidity risk analytics, funds transfer pricing methodologies, liquidity stress testing frameworks, and enterprise risk management platforms.