Legal and regulatory compliance risk
Courts rein in SEC while FCA probes investors' poor safeguards
Bank says economics, not regulation, drove physical commodities sale
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 Legal and regulatory compliance risk articles
Unintended consequences of AIFMD
Ferc is now monitoring markets in near real time for evidence of manipulation, warns enforcement official
A confession to make
California is set to launch the world’s second-largest carbon market, but threats of litigation have kept many potential market participants sitting on the sidelines
Risk managers are facing greater complexity because of regulation and other issues, Ferma is told
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
ComPeer survey of wealth management firms finds middle-office heads highly valued, as industry faces 'onerous regulatory burden'
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.