Compliance
Energy companies warned on end-user status
Energy Risk USA speakers concerned about reliance on end-user status; urge energy companies to begin Dodd-Frank compliance planning
Will oversee a staff of about 300 responsible for the inspections of US-based broker-dealers
The total number of fines issued by the FSA since its records began has now reached £239.8 million
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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
Control frameworks need top-down approach
Regulatory reforms are switching industry focus firmly onto compliance and control frameworks. But unless a top-down approach is taken to implementing these structures, firms could end up with a proliferation of knee-jerk controls that hinder more than...
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UK fines increase as FSA ditches soft approach
The UK FSA can no longer be accused of taking a softly, softly approach to enforcement. In the harsh new world of City regulation, credible deterrence is the main theme, and the FSA is hitting banks and individuals where it hurts with larger fines than...
OpRisk North America: ‘Nasty’ new regulation threatens foreign banks...
The Foreign Account Tax Compliance Act expected to impact on the systems and operations both of US and foreign firms
Eiopa: Internal models beneficial under Solvency II
QIS 5 results show there is a capital advantage to be gained from constructing an internal model
UK Bribery Act guidance fails to clarify compliance issues
New guidance from the Ministry of Justice and the Serious Fraud Office helps in some areas but muddies the waters
Finra fines Lincoln Financial $600,000 for customer data failings
Regulator claims two Lincoln firms used shared login credentials and failed to track use
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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