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Code of ethics

Penalties and censures

UBS 'unethical' in mortgage-backed securities pricing

Published online only

Source: Operational Risk & Regulation

UBSGAM settles SEC mispricing charges for $300,000

Operational Risk & Regulation | 19 Jan 2012  Image
A pencil pointing at the word 'ethic' in a dictionary
creepy-scene-vulture
Operational Risk

Regulatory culture vultures start to circle in UK

Published online only

Source: Operational Risk & Regulation

Regulating for good culture and ethics at financial institutions is difficult because it is so subjective, but there are signs the UK supervisor is moving in that direction

Operational Risk & Regulation | 29 Jul 2010  Image
Chris Jeffery
Derivatives

Information asymmetry

Original headline: Editor's letter

Source: Asia Risk

As corporate derivatives litigation activity intensifies in the region, with cases flaring up from India through to South Korea, a number of common themes are starting to emerge. Perhaps the most striking...

Asia Risk | 01 May 2009
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Management

The forensic approach

Original headline: PROFILE: SEBASTIAN FRITZ-MORGENTHAL

Source: Operational Risk & Regulation

Sebastian Fritz-Morgenthal, global head of op risk at Deutsche Bank, speaks about a quality analysis to risk management and the usefulness of Six Sigma. Victoria Pennington reports

Operational Risk & Regulation | 01 Aug 2007  Image

Governance

Risk managers: rainbow warriors?

Published online only

Source: Operational Risk & Regulation

Corporate social responsibility is an oft-bandied term among big business, but frustratingly hard to define. Peter Madigan looks at the risk issues for banks and what risk and compliance executives need to know

Operational Risk & Regulation | 01 Mar 2007  Image

Fund Management

Man Investments takes compliance lead

Published online only

Source: Operational Risk & Regulation

Man Investments (Man), Europe's largest hedge fund group, with approximately £40 billion in assets under management, has implemented StarCompliance's 'code of ethics' software to automate its compliance procedures across its 15 global sites.

Operational Risk & Regulation | 22 Oct 2004  Image

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