Operational Risk & Regulation - Vol 8 No 2
Articles in this issue
Combating money laundering and terrorist financing
SPONSORED STATEMENT
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
APRA bans insurance executive
LOSSES & LAWSUITS
US and Canadian data breaches cause concern
LOSSES & LAWSUITS
A kick up the backside
Just what are the world's regulators doing to help move forward the discussion around operational risk?
Preparation is everything
Compliance with the November deadline for Mifid is what firms are focusing on. Business opportunities come second, reports Ellen Davis
RBS branch raided by bailiffs
LOSSES & LAWSUITS
Probe continues into Singapore naphtha trader's falsified records
LOSSES & LAWSUITS
FSA fines GE Capital Bank
LOSSES & LAWSUITS
Preparing for Mifid
SPONSORED STATEMENT
UK FSA fines firm £560,000 for breaches
LOSSES & LAWSUITS
London banker in sex scandal
LOSSES & LAWSUITS
Banks call for 'third way' to implement Basel II
COVER STORY
Trade bodies oppose split start dates
REGULATORY UPDATE
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
Regulate remittance services – World Bank
FINANCIAL CRIME
Final statement on CSFTs is published
REGULATORY UPDATE
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
February 2007
CHANGING HATS
3L3 outlines its 2007 work programme
REGULATORY UPDATE
Rome I threatens to be a legal nightmare
REGULATORY UPDATE
Report ends a bad month for Basel II in US
REGULATORY UPDATE
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
FSA forms new crime-fighting division
FINANCIAL CRIME
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
Test shows markets can handle a flu pandemic
BUSINESS CONTINUITY
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
New York disaster management centre opens
BUSINESS CONTINUITY
CESR seeks to measure acceptance of Mifid
REGULATORY UPDATE
