Legal and regulatory compliance risk
Unintended consequences of AIFMD could push more hedge fund managers to go offshore but an exodus of managers from London is unlikely. Many questions and continued uncertainty still dog the directive
Ferc is now monitoring markets in near real time for evidence of manipulation, warns enforcement official
Banks need to adapt to a more uncompromising approach to enforcement and prosecution at the UK Serious Fraud Office, writes Jonathan Grimes, a partner at Kingsley Napley
Insurance Risk and BNY Mellon have conducted a survey to look at how insurance companies are preparing for the new regime and the opportunities and challenges that the changes will bring.
More Legal and regulatory compliance risk articles
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
• Raiffeisen Centrobank (RCB), a subsidiary of Raiffeisen Bank International, has added a suite of 117 structured products on the Warsaw Stock Exchange (WSE), bringing the number of RCB products listed on the exchange to more than 200. The latest...
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,...
This paper discusses a number of diverse considerations that risk managers need to incorporate into their thought processes and recurring procedures if they are to fulfill their role more effectively in the future
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