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 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
Legal experts have called for Dodd-Frank-style bounty provision for whistleblowers in the UK
Two hedge fund managers have been charged by the SEC with facilitating a multi-billion dollar Ponzi scheme
UBS Securities has been fined $8 million by the SEC for inaccurately recording 'locates' information
The Operational Riskdata Exchange says benchmarking is the next step in its effort to help operational risk managers improve their use of scenarios
New Zealand's central bank RBNZ appoints new head of risk management and assurance
The financial industry must give more consideration to pandemic risk, says Scott
The US Securities and Exchange Commission has named heads of regulation for derivatives policy, and clearance and settlement
Industry insiders have warned a UK Treasury Select Committee hearing that the FSA has shown a distinct lack of interest in dialogue over the FCA
Recent events at UBS have prompted one industry expert to call for a specific rogue-trading regulation
There is discord in the industry over whether CCPs will be able to deal with the risks of clearing OTC derivatives as mandated by new regulation
Fine from Finra is latest indicator of UBS's control and supervisory issues
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.