Operational Risk & Regulation - Vol 8 No 6

Achieving business benefit from Mifid

E-symposium panellists explore how compliance with the Markets in Financial Instruments Directive can be turned into a plus for the business lines affected by the EU legislation. Moderated by Ellen Davis

Confusion reigns

Exactly what the role of home and host regulators will be for the regulation of branches under the Markets in Financial Instruments Directive (Mifid) remains an elusive issue. The industry is clear that firms should have to follow only one set…

Under a broad umbrella

Integration, consolidation and convergence were the key words from the top ranking companies in this year's compliance software survey. But as Peter Madigan reports, aiming for a fully comprehensive suite in a constantly changing regulatory world may be…

Friendly persuasion

Georgina Philippou, one of the heads of the UK Financial Services Authority's enforcement division, tells Nick Kochan that treating customers fairly is at the forefront of principles-based regulation

Future options

Operational risk derivatives have been touted for a few years now, but interest in them moves in waves. The current tide is high, however. Duncan Wood tests the water

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