Articles by Mark Sands
The top 10 operational risks to watch in 2011
Batten down the hatches
Ghost brokers busted by UK Fraud Bureau
UK trio charged with insurance and tax fraud as well as money laundering
Two former Madoff employees arrested and charged with fraud
Madoff employees charged with creating false documents and trades, and misleading investors
IRS drops lawsuit against UBS on US tax evasion
UBS evades prosecution for tax evasion as US IRS drops charges
Hong Kong's SFC hands lifetime ban to jailed asset manager
Hong Kong managing director of Crown Asset Management banned from industry for life
Former Société Générale trader found guilty of HFT code theft
Samarth Agrawal on trial in Manhattan for theft of proprietary computer code from French bank
South Korea regulator to investigate potential 'unfair selling' by Deutsche
Deutsche Bank under scrutiny by the Financial Supervisory Service for alleged unfair selling
Buckingham settles with SEC over charges of information misuse
Capital management firms settle with SEC over failing to prevent misuse of non-public information
Regulatory reform may not be enough to prevent second crisis
A new study warns reform might only be enough to mitigate, not prevent, damage from a new crisis
FSA defends mobile-taping proposals, continues plans to enforce recording
UK regulator denies planned regulation is unenforceable or prohibitively expensive
Suggestions of sabotage at LSE 'ridiculous' says IT consultancy
Source speculates LSE's two-hour closure in November probably due to software problems
Market abuse and insider trading still seen as victimless crimes
Change of mentality needed to confront rise in insider trading says Baker Platt director
IOR promotes development of KRIs in new guidance
Institute of Operational Risk says firms must use key risk indicators to assist decisions, not make them
Foreclosures failings could lead to 'second round of crisis'
Former US Senate special counsel predicts trouble for institutions struggling to foreclose mortgages
Argentina not addressing anti-money laundering failings says FATF
FATF moves to attack Argentina for lack of progress in AML; while Hong Kong acts to shore-up deficiences reported in 2008
Banks must keep non-execs 'up to speed' on risk, says consultancy
Protiviti head says the 'warp speed' of risk management means non-executive directors can struggle to keep up
Dipo conference: Loss-data consortiums switch focus from quantity to quality
Quality over quantity
HSBC issued with cease-and-desist order for AML failures
HSBC's North American arm accused of deficiencies in compliance
FSA fines two mortgage brokers at Pace Financial £400,000
Two banned from working in financial services after submitting false and misleading information to secure mortgages
Dallas star Larry Hagman awarded $11.5 million payout
Actor claims Citigroup breached fiduciary duty
Hedge fund manager guilty of $7m insider-trading scheme
Joseph Contorinis used inside information about mergers and acquisitions to execute trades
Citigroup rejects discrimination claims as lawsuit launched
Bank accused of suffering from a 'boys’ club' mentality
Data management still presents issues for many banks says report
Middle office needs "a big stick" to ensure smooth data storage
Countrywide chief executive hit with record fine
Mozilo agrees $22.5 million settlement with SEC over charges of misleading investors