Suspicious activity reports (sars)
The UK Financial Services Authority is taking a hardline approach to insider trading, increasingly carrying out criminal investigations. But at the same time it is asking firms to work with it by providing...
LONDON - The Financial Services Authority (FSA) has fined Mark Lockwood, a former trading desk manager, £20,000 for failing to observe proper standards of market conduct. The UK regulator says Lockwood,...
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.
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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
USA, 9th Dec 2013
USA, 10th Dec 2013
UK, 18th Dec 2013
UK, 12th Feb 2014
UK, 13th Feb 2014
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