Royal Bank of Scotland (RBS) has settled with the OFT for breaking competition rules with Barclays
This handy guide reviews the various steps banks are taking to improve their risk management techniques, looking at the benefits and pitfalls of each one.
More Compliance articles
Supervisor looking at range of issues as part of broader look at big banks, including compensation, compliance, and capital
Outsourcing is about more than cutting costs
The supply of US carbon offsets reached an all-time high in 2009 as pre-compliance buyers stocked up on lower-priced credits ahead of anticipated legislation.
Some 67% of respondents to Energy Risk’s 2010 Software Survey say they will be investing in new energy trading risk management (ETRM) systems this year, to tackle dissatisfaction with the speed and usability of existing software systems, as well as...
With regulators’ power set to increase and individual executives increasingly likely to be prosecuted when there is a compliance breach, it is crucial that the compliance function is properly structured. In part two of their series, Michael Berry and...
Chairman of the US Securities and Exchange Commission (SEC) Mary Schapiro has reminded compliance officers of their “critical role” in protecting investors and ensuring the proper functioning of financial markets. “As one of the first lines...
LONDON – The UK Financial Services Authority (FSA) has issued a ‘Dear CEO’ letter to chief executives at banks, building societies and investment firms outlining its expectations for systems and controls in liquidity risk management. The missive...
Technology can provide a competitive advantage in banking. How it is applied by Tier 1 and Tier 2 institutions, to the benefit for their risk management systems, is discussed.
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