Operational Risk & Regulation - Vol 8 No 4
Articles in this issue
Goldman fined $2m for fraud conducted by customers
LOSSES & LAWSUITS
FSA fines ex-citi analyst
LOSSES & LAWSUITS
SEC charges 14 in two inter-related insider trading scams
LOSSES & LAWSUITS
Ex-Deutsche executives seek £5m from property deal
LOSSES & LAWSUITS
BAS fined $26m for false research reporting
LOSSES & LAWSUITS
Keeping pace with a changing industry
Welcome to the 'new look' OpRisk & Compliance magazine. As many of our long-time readers will know, OpRisk & Compliance has come a long way over the past few years – we are working hard to keep up with the rapid evolution of the disciplines of…
Fed highlights subprime issues
LOSSES & LAWSUITS
Changing culture
In the second of a series, Eric Holmquist considers some specific goals in trying to establish a risk culture
Harvesting loss data
Although often the core of Basel II models, loss event data is usually less robust than op risk executives would like. Peter Madigan explores the challenges around collection, clearing and enrichment
FSA proposes new Training book
NEWS IN BRIEF
Ministers work to disband SFO
NEWS IN BRIEF
A ripe market for corporate governance
Financial institutions across Latin America aspire to corporate governance best practices, writes John Rumsey. But while many nations are using governance as a force for good, others have a less healthy approach
April 2007
CHANGING HATS
Basel II uncertainties remain
NEWS IN BRIEF
The payment services solution
Will the global money transfer industry suffer collateral damage in the war against money laundering? Lady Olga Maitland of the International Association of Money Transfer Networks investigates
Profile: Joe Sabatini and the rules of engagement
The guiding principles of Basel II are now shrouded in mists of regulatory detail, says JP Morgan's Joe Sabatini. He tells Duncan Wood op risk managers must now look beyond mere compliance, and focus on adding value to their firms
Legal eagles
Clifford Chance has been ranked number one in the first annual OpRisk & Compliance survey of law firms engaged in risk and compliance activities for financial services firms. But as the results attest, risk and compliance is a hot area for global law…
Devil in the detail
The systems and controls elements of the Markets in Financial Instruments Directive is the core of the EU legislation. Compliance officers and operational risk managers alike need to check the detail to ensure they don't get caught out in November…
