Operational Risk & Regulation - Vol 8 No 6
Articles in this issue
Savings-Bank flotation fraudster pays back $11 million
LOSSES & LAWSUITS
What to do with the treasure we've found?
This month, I've quite literally been around the world checking on the state of the operational risk industry. From my base in London, I've been to our conferences in both Singapore and New York.
Amex investigated over suspicious activity
LOSSES & LAWSUITS
BISYS pays $25m to settle SEC financial reporting charges
LOSSES & LAWSUITS
FSA fines Charterhouse £122,500 for portfolio mismanagement
LOSSES & LAWSUITS
Sesame fined £330,000 by FSA for scarps failures
LOSSES & LAWSUITS
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
FSA fines BNP Paribas £350,000 for weak anti-fraud controls
LOSSES & LAWSUITS
June 2007
CHANGING HATS
The principles of distribution fitting
TECHNICAL
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…
Defining the boundaries
PROFILE: HIM CHUAN LIM
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
New York Governor to form state-wide committee
NEWS IN BRIEF
