Compliance
Is Remit too big a burden for energy market participants?
Remit, the EU’s new energy trading regulation, sprung from political concerns about market abuse. The provisions will massively increase reporting requirements for energy producers. But do they go too...
The industry must come together to prepare for US anti-tax evasion regulations in the same way it has collaborated on the legal entity identifier project, according to Deutsche Bank's Julia Sutton
Head of European sales says new legislation produces an "untenable situation" where if clients choose to be non-compliant, firms will have to disengage from them
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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
China's financial regulation 'needs improvement'
The World Bank's first assessment of the financial sector in China finds inadequacies in its regulation
Energy Risk CEE: New EU regulations create confusion for firms, says...
A new alphabet soup of financial services and energy market regulations are making firms nervous about their ability to comply, said panellists at Energy Risk's Central and Eastern Europe conference
Non-US banks stunned by Volcker compliance regime
Banks will have to document the scope of every trader's activities and have chief executive sign off on Volcker compliance regime
Turner warns of capital requirements dilemma
FSA chair Adair Turner insists on the consideration of counter-cyclical macro-prudential policies in the run-up to regulatory structure overhaul
Cofunds appoints new risk and compliance director
UK investment platform Cofunds appoints Paul Miller as risk and compliance director
SEC files subpoena enforcement action against Deloitte
Deloitte Touche Tohmatsu faces subpoena enforcement action after failing to hand documents over to SEC in Longtop Financial Technologies investigation
Axa Rosenberg clients 'betrayed' by co-founder
Clients of Axa-Rosenberg lost $217 million because its co-founder concealed an error in one of its models, regulator says
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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