Securities fraud charges brought against former top executives seen by one legal expert as attempt by regulator to improve image
This white paper looks at the heavy impact of regulation on investment managers, the mitigation of outsourcing risk, inefficiencies in corporate actions processing and the growing importance of collateral management.
More News/Operational Risk articles
Industry experts warn stricter EU data privacy laws might have implications for Fatca
Eric Pan to oversee international regulatory policy at the agency
Legal experts see potential effects of Rakoff's SEC-Citi ruling for major banks' settlements
Experts believe multi-million-pound fine issued to HSBC to be continuation of FSA focus on banks' retail failings
"Aberrational performance" detected in four funds
Manhattan federal judge refuses to approve SEC settlement relating to Citi's negligence over 2007 CDO
UK government's Cyber Security Strategy release needs regulatory backing, according to one industry expert
The industry must come together to prepare for US anti-tax evasion regulations in the same way it has collaborated on the legal entity identifier project, according to Deutsche Bank's Julia Sutton
Banks' anti-money-laundering processes will come under scrutiny in the face of tougher sanctions in the Middle East
Ex-UBS trader Adoboli's plea hearing has been adjourned until December
The French financial markets regulator has penalised SG for failures during the financial crisis
Foreign tips about financial crime unexpectedly common, ex-regulator says
This whitepaper reviews the fundamental changes of Liquidity Risk Management under Basel III. It discusses how institutions can meet the regulatory requirements on liquidity risk management by enhancing their liquidity risk analytics, funds transfer pricing methodologies, liquidity stress testing frameworks, and enterprise risk management platforms.