Regulation / Operational Risk & Regulation
After years of debate, a European financial transaction tax in at least some of the EU now looks close to a certainty. Negotiations continue, but there is enough known about key features to allow financial...
A $4 million fine for EY for illegal lobbying could be followed by more sanctions for "gatekeepers" judged to have acted unethically
More Regulation / Operational Risk & Regulation articles
The SEC plans to exploit advances in IT to improve investigations, investor reporting and industry oversight
Human resources information is crucial to monitoring and understanding the risks involved in corporate culture, the OpRisk Asia conference heard today
The redress process continues for UK businesses sold inappropriate interest rate hedging products by their banks, with the cost of compensating them now over £1 billion
Regulators in the US and elsewhere have identified conduct risk as a top priority for bank soundness and systemic stability – the OCC’s Grovetta Gardineer and Carolyn DuChene discuss the challenges in defining and managing it. Interview by Jessica...
Regulatory pressure to focus on conduct risk means that banks now need to be sure that they have adequate and timely measures of their exposure
In response to industry fears of a collateral crunch, regulators have revised the proposed rules on margining for uncleared over-the-counter (OTC) derivatives.You can find out more by downloading this white paper here.
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