Operational Risk & Regulation - Vol 7 No 1
Articles in this issue
MiFID support high, despite the costs
OR&C INTELLIGENCE
Mortgage fraud uncovered in South Wales
LOSSES & LAWSUITS
Personal liability for investment officers over fund losses
LOSSES & LAWSUITS
MiFID: A lot of catching up to do
SPONSORED CORPORATE STATEMENT
ABN Amro to pay regulators $80 million
LOSSES & LAWSUITS
HSBC fined £100,000 by FSA over inaccuracy
LOSSES & LAWSUITS
Mizuho Securities loses $223m in trading error
LOSSES & LAWSUITS
A broader scope
Welcome to the rechristened OpRisk & Compliance .
Merrill fined for improper sales of mutual fund shares
LOSSES & LAWSUITS
Banks count cost of contract litigation
LEGAL BEAT
CIBC adopts Cicada's legal data system
COMPLIANCE TOOLS
Briefs
LEGAL BEAT
Adding value to operational risk
FRAMEWORK ANALYSIS
Briefs
COMPLIANCE TOOLS
Scaling op risk management for SMIs: how to avoid boundary disputes
PRACTITIONER'S POV FRAMEWORKS
TSE investigates systems
MANAGEMENT INTELLIGENCE
PCAOB cites loopholes in AS2 implementation
CORPORATE GOVERNANCE
SEC urged to increase oversight
REGULATORY UPDATE
Europe backs away from Sarbanes-Oxley
PRACTITIONER'S POV FRAMEWORKS
FMLC backs Hague convention for EC
LEGAL BEAT
Forrester argues for consolidation
MEASUREMENT ADVANCES
Briefs
FINANCIAL CRIME
EU passes extended disclosure rules
CORPORATE GOVERNANCE
Briefs
MEASUREMENT ADVANCES
Strike fails to halt Wall St
BUSINESS CONTINUITY
Australia spotlights AML
FINANCIAL CRIME
Exchange shake-up hastens SRO reform
REGULATORY UPDATE
UK disaster response too reliant on IT
BUSINESS CONTINUITY
Shaping the future
In lighter, sillier moments down the pub, when we were thinking about what to rename the magazine to help it better reflect the industry's evolution and its content, we went through some rather daft combinations.
FSA touts principles-based approach
REGULATORY UPDATE
Briefs
REGULATORY UPDATE
Changing hats
CHANGING HATS
FRS and Mantas integrate
MEASUREMENT ADVANCES
Forex trading risks "on the rise"
MANAGEMENT INTELLIGENCE
New crime agency due for launch in April
FINANCIAL CRIME
2006: a year of deadlines and worry
COVER STORY: A YEAR OF UNCERTAINTY FACES EXECUTIVES, AND MANY INITIATIVES ARE STILL FAR BEHIND
Archive or be damned
COMPLIANCE EMAIL STORAGE
RBC adopts Risque for op risk
MANAGEMENT INTELLIGENCE
Briefs
LEGAL BEAT
UK unveils fraud review
LEGAL BEAT
Bear Stearns signs up for Orchestria 4.0
COMPLIANCE TOOLS
Probes into UK law firms near conclusion
LEGAL BEAT
FXC releases prime brokerage guidelines
REGULATORY UPDATE
HKMA releases supervisory manual
REGULATORY UPDATE
UK Treasury releases MiFID document
REGULATORY UPDATE
Joint Forum BCP principles published
COVER STORY: BUSINESS CONTINUITY ESTABLISHED AS A RISK MANAGEMENT ISSUE – COMMUNICATION ESSENTIAL
Briefs
CORPORATE GOVERNANCE
Briefs
MANAGEMENT INTELLIGENCE
The benefit of hindsight
INVESTMENT BANKING PRACTICE
Congress passes Patriot Act, but only temporarily
FINANCIAL CRIME
What's happening and when
WHAT'S HAPPENING AND WHEN
Eurohypo to automate compliance requirements
COMPLIANCE TOOLS
