Operational Risk & Regulation - Vol 8 No 1
Articles in this issue
SEC targets Russian fraudster
LOSSES & LAWSUITS
Jeffries & Co charged by SEC over illegal gifts and expenses
LOSSES & LAWSUITS
FSA fines mortgage lender
LOSSES & LAWSUITS
Banco Delta Asia comes clean over purchase of gold from North Korea
LOSSES & LAWSUITS
The advancing tide of rationalisation
Rationalisation, rationalisation, rationalisation. There is no denying it, this is the major theme in operational risk in the US at the moment, and it is a trend that is spreading to Europe as well.
SEC files enforcement action against Long Island fraudster
LOSSES & LAWSUITS
BTM singled out by board for weak AML processes
LOSSES & LAWSUITS
SEC acts for victims of IFC fraud in Canada and US
LOSSES & LAWSUITS
Thinking hard about AML software
Five years after 9/11, banks are stepping back and taking a more studied approach to anti-money laundering. Dianne See Morrison reports
Taiwan earthquake hits e-trading in Asia
BUSINESS CONTINUITY
Looking into the crystal ball
Eric Holmquist presents some observations on the trends in ORM, and offers predictions on what to expect in 2007 and beyond
FSA leaves product disclosure regime alone
REGULATORY UPDATE
January 2007
CHANGING HATS
Is SOX reform about to take off?
Peter Madigan investigates proposals for long-awaited changes to the Sarbanes-Oxley Act
Mifid think-tank tackles testing issues
REGULATORY UPDATE
Mifid regulation speeds up amid concern
REGULATORY UPDATE
S&P to set up hedge fund evaluation service
MEASUREMENT
Banks slam "overly prescriptive" CESR
REGULATORY UPDATE
US AML officers have a busy December
FINANCIAL CRIME
FATF and Wolfsberg Group to release AML report
COVER STORY
Draft Basel Ia NPR is finally released
REGULATORY UPDATE
Debating RCSAs
Four of the industry's top op risk executives debated risk control self-assessments at a recent briefing in London, moderated by Ellen Davis and sponsored by software vendor Reveleus
Is US BCP courting disaster?
The US authorities have fallen silent over business continuity management (BCM) of late, raising fears that the issue will slip down the American business agenda in 2007. Peter Madigan investigates
Basel II remains cloaked in mystery in US
REGULATORY UPDATE
IIF launches strategic regulatory dialogue
COVER STORY
UK banks need to crack down on fraud – FSA
FINANCIAL CRIME
NYSE, NASD merger creates single SRO
REGULATORY UPDATE
What's happening and when
WHAT'S HAPPENING AND WHEN
