Mis-selling
ORR's top 10 operational risk concerns in 2012
Original headline:
Regulatory overhaul, economic crisis and rising crime - 2012 will be a busy year for op risk
Published online only
RBC Capital is charged with misconduct in the sale of CDOs by the SEC
Original headline:
The Belgian Financial Services and Markets Authority initiative to restrict the distribution of structured products deemed unsuitable for retail investors is paving the way for new legislation later this...
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Enter the quant regulator
Original headline:
If regulators want to improve the level of disclosure for retail investment products, they need to abandon a narrative description of the risks in favour of quantitative indicators. This is the only way to close the information gap between the industry...
Structured products
Original headline:
Like other parts of the financial markets, the structured products business is set for a shake-up. A consultation paper on a review of the Markets in Financial Instruments Directive (Mifid) was published at the end of last year, and European regulators...
Barclays fined £7.7 million by UK regulator for mis-selling funds
Original headline:
Bank admits more than half of sales to customers on two separate funds worthy of investigation
Charles Schwab companies pay $118 million to settle SEC charges, case...
Original headline:
Charles Schwab accused of misleading statements on risk of fund that lost $11 billion in value amid credit crisis
‘Bizarre’ $555bn derivatives lawsuit in India rumbles on
Original headline:
India’s Supreme Court adjourns hearing in case that alleges the Reserve Bank of India and the country’s commercial banks acted in cahoots to use derivatives products to defraud Indian exporters out of trillions of rupees
Ellen Davis: Bringing back the Belgian dentist
Published online only
New EU-wide regulations for retail investment products are needed to lure investors back into European securities, according to speakers at the ICFR conference in Amsterdam
Product suitability top concern for Asia op risk managers
Original headline:
The OpRisk Asia conference held in Hong Kong last month highlighted the key concerns for op risk managers in the region, with product suitability coming top of the list
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Risk & Return Россия 2012
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Risk and Return Russia
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