In 2013 SEC increased formal orders of investigations by 20%
Aggressive pursuit of wrongdoing harms market efficiency and competition
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 Opinion/Risk Management articles
Uncertainty reigns over the legal and accounting status of currencies such as bitcoin and their regulation
Financial firms should plan for a time when they have more computing power than they need
Studies find wide spread of management methods
HR needs to have closer ties to op risk – both would benefit
Automation and straight-through processing required to protect investors
Acquirers are being punished for actions they had no control over
Expected shortfall may be more conservative than VAR, but there are backtesting and stability concerns
Decision-making failures are being tackled in three very different ways
The dangers of complacency, excessive risk and management failures
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.