Financial Conduct Authority (FCA)
Retail brokers accused of stealing bank business with little oversight
Interventionism is the name of the game in post-crisis financial regulation
This white paper looks at the heavy impact of regulation on investment managers, the mitigation of outsourcing risk, inefficiencies in corporate actions processing and the growing importance of collateral management.
More Financial Conduct Authority (FCA) articles
Lack of standardised model could mean different projections for identical structured products
Executives will be liable for banks’ misconduct under Senior Managers Regime
FCA aims to act early to prevent misconduct
Better conduct could come from proven knowledge of markets and ethics
Bank fines hit £1.37 billion in 2014, a fourfold increase on previous year
Regulator will be lenient on latecomers as glitches resolved
But FCA's "tone at the top" focus may hamper progress
BBA conference describes problems in improving culture
Report on communications blunder due this week
What impact does the 'revolving door' have on regulatory independence?
Companies should implement a robust whistleblowing policy to ensure protection for all
Poor IT risk management threatened UK financial system
This whitepaper reviews the fundamental changes of Liquidity Risk Management under Basel III. It discusses how institutions can meet the regulatory requirements on liquidity risk management by enhancing their liquidity risk analytics, funds transfer pricing methodologies, liquidity stress testing frameworks, and enterprise risk management platforms.