Legal and compliance head says agency has been “very receptive” of industry concerns
Caymans court: question manager's authority and letter’s interaction with fund constitution
Agency “much more aggressive” in fining firms for reporting errors, say lawyers
Courts rein in SEC while FCA probes investors' poor safeguards
Bank says economics, not regulation, drove physical commodities sale
All companies face the risk of an online attack – what precautions can they take against it, and how can they react once an attack starts?
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
Operational Risk & Regulation looks at the growing governance, risk and compliance sector
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'
Emails are increasingly being used (and demanded) as evidence by US courts, and the implications of this are rippling around the globe. Ellen Davis looks at what international firms need to be doing with their email to ensure they can handle the changing,...
Clifford Chance has been ranked number one in the first annual OpRisk & Compliance survey of law firms engaged in risk and compliance activities for financial services firms. But as the results attest, risk and compliance is a hot area for global law...
New regulations in the US and Europe are pushing email retention and storage up the agenda of financial services firms. Peter Madigan explores the challenges and the pitfalls of the changes for compliance teams