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