Operational Risk & Regulation - Vol 8 No 2

Keeping an eye on complacency

When it comes to AML initiatives, companies are displaying a worrying disregard for the perils of this criminal threat, despite recognising it as such. By Ellen Davis

Preparation is everything

Compliance with the November deadline for Mifid is what firms are focusing on. Business opportunities come second, reports Ellen Davis

Russia opens up

Russia is moving ahead with Basel II implementation, with a new industry working group and new regulatory rules. Ellen Davis reports

Event horizon

Rick Cech takes a second look at what makes up operational risk event types, and asks if there is a more advanced way to define them

A better execution

In the first of a series of six articles on Mifid, Victoria Pennington seeks clarification on a number of issues swirling around the best execution debate

Time for change

Implementation of the core principles of op risk still has a long way to go in the Asia-Pacific region. Ellen Davis reports

All in the mind

The number of op risk patent applications filed in the US has soared. Duncan Wood investigates the efforts being made to protect intellectual property

The Age of e-discovery

New regulations in the US and Europe are pushing email retention and storage up the agenda of financial services firms. Peter Madigan explores the challenges and the pitfalls of the changes for compliance teams

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