Compliance
SEC appoints director for national broker-dealer examination programme
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
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...
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How banks needs to consider their IT infrastructure
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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
AXA Rosenberg to pay $240m after failing to disclose coding errors
SEC says firms knew about mistakes for almost a year and cost investors $217 million
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
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How financial services need to consider their IT infrastructure
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