Compliance
Ex-fund manager ignored compliance rules
Prosecuters allege former Bear Stearns fund manager Ralph Cioffi disregarded compliance rules.
In this article Protiviti addresses four key questions related to governance, risk and compliance (GRC). Among the discussion points are its definition and the similarities and differences between integrated...
The financial turmoil has propelled governance, risk and compliance further forward as companies look for a holistic approach to managing their risks. Victoria Pennington, editor of OpRisk & Compliance,...
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How banks needs to consider their IT infrastructure
Banks are increasingly using their IT infrastructure to increase their competitive advantage. Learn how this can work in practice.
More Compliance articles
Tougher rules prompt compliance and op risk rethink
LONDON & NEW YORK - The increased level of regulatory scrutiny has prompted one UK bank to enhance the independence of its compliance function, despite having recently made substantial advances to move it closer to the risk department. Lloyds Banking...
UK regulator bans compliance director
FSA has banned a compliance director of a financial services firm for inadequate supervision
US banks keep a close eye on compliance
A national study by the ABA reveals compliance duties are becoming a responsibility for all banking employees
All in one -- Software rankings
Budgets are under pressure, and more and more firms are opting for a single platform provider for all their compliance software needs. Victoria Pennington looks at which companies they are turning to, and why
ASX goes live with iAppraise
The Australian Stock Exchange beefs up market oversight with the implementation of a new compliance monitor
Beyond compliance
Community-level emission reduction projects are in demand as compliance buyers diversify carbon offset portfolios and corporates seek out sustainable green projects. Voluntary and compliance market methodologies and pricing are therefore becoming increasingly...
Liquidity regulation to cost £700 million and 15 man-years of work
Research by Atos suggests compliance with new liquidity requirements could cost UK institutions £700 million
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.
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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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