Financial Services Authority's Dan Waters says regulators should gather more information about the systemic risks hedge funds pose
UK regulator worried heavy handed rules will drive hedge funds out of Europe, depriving supervisors of information on their European activities
Plans to overhaul the Basel trading book in 2011 have raised concerns about implementation targets
Bank to pay UK regulator for failing to disclose SEC investigation
What price advice?
European banks more worried about OFAC than local regulators
Regulatory requirements in the US and Europe mean banks now have tougher pay standards to comply with
Live and let die
The cost of building liquidity buffers will ultimately flow through to clients.
Increased regulatory scrutiny combined with investor demand for better transparency and corporate governance standards is driving improvements in the way operational risk is managed at asset and fund management businesses since the events of the financial...
A new fraud-fighting body is being created as part of the UK government’s shake-up of financial regulation. Some welcome the proposed Economic Crime Agency, saying its integrated approach is just what is needed. Others worry valuable aspects of the...
Japan’s regulator points to Mizuho Financial Group’s operational risk management model as an example for banks in the country to follow. Shigehiko Mori, the group’s head of operational risk, talks about how the model works and his plans for continued...
Andrew Jeffery banned and fined over insurance fraud failings
Failures in transaction reporting and record keeping under Mifid a key concern for the UK regulator
A panel of experts was convened by Operational Risk & Regulation for this virtual roundtable, sponsored by Sybase, in which they discuss the main challenges facing financial institutions in meeting new liquidity regulations, including the extra data requirements...
Regulator revealed to have shed 121 personnel in second quarter of the year, 128% up on a year previous; insists it still draws top talent, but commentators worry resignations will weaken it
UK regulator issues large fine after banks fail to implement monitoring systems
New UK bonus rules are widened to cover thousands more investment firms
Chief operating officer resigns
Speakers at OpRisk Europe agreed that, while change in op risk legislation and capital calculation is necessary, it needs to be undertaken slowly and carefully
Three ordered to pay up for accepting deposits without FSA approval
Regulating for good culture and ethics at financial institutions is difficult because it is so subjective, but there are signs the UK supervisor is moving in that direction
More details emerge on how the new regulatory regime in the UK will be structured