Compliance
Fourth annual compliance software survey launched
Operational Risk & Regulation launches its fourth annual compliance software survey
Royal Bank of Scotland (RBS) has settled with the OFT for breaking competition rules with Barclays
Hedge fund managers might unwittingly be exposing themselves and their firms to compliance risks by failing to fully address the Market Abuse Directive. Should they act now and review internal policies...
Using market and credit risk analytics to strengthen performance
How are banks improving their risk management techniques?
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
US Fed working on horizontal reviews of op risk issues
Supervisor looking at range of issues as part of broader look at big banks, including compensation, compliance, and capital
SaaS poses operational and regulatory risks for asset managers
Outsourcing is about more than cutting costs
Point Carbon: US carbon offset supply hits record high
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.
Two-thirds of ETRM users plan new systems in 2010
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...
Best practices in compliance
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...
SEC’s Schapiro: compliance professionals play ‘critical role’
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...
FSA: op risk has role to play in managing liquidity
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...
How can investment banks use grid technology?
Learn how technology is enhancing risk management
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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Using market and credit risk analytics to strengthen performance
This white paper reviews the various steps banks are taking to improve their risk management techniques.
How financial services need to consider their IT infrastructure
The global credit crisis exposed the weaknesses inherent in the risk management and IT infrastructures employed by banks.
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