Operational Risk & Regulation - Volume 12/Issue 11
Articles in this issue
SEC's Schapiro under fire in Madoff conflict case
SEC's former general counsel David Becker inherited $2 million account with Ponzi fraudster
Update: Bouhara and Gouws out, Gudka also resigns as UBS cleans house
Dismissals are "a sign something was seriously wrong", says former senior UBS employee as bank admits operational and risk failings
Culture and checklists: Maersk's op risk management
Safe sailing
New techniques focus US op risk executives on scenario analysis
Change of scene
Esma outlines aims for regulatory consistency
Consistent effort
US banks at a disadvantage in face of Volcker rule
Non-US banks will have an advantage over US counterparts when it comes to prop trading, according to one legal expert
Regulators could focus on ETFs after UBS losses
Regulators could take some time to change the rules surrounding the exchange-traded products involved in the UBS rogue-trading losses, but banks might see an impact soon in capital terms
National culture can affect banks' operational risk
National interest
Fears of overreach in Mifid II and Mifir bond rules
Industry experts warn new Mifid and Mifir proposals might push business overseas
A recipe for success
A recipe for success
UK FSA data shows number of complaints against banks rising
FSA data shows 21% rise in complaints about payment protection insurance. And data from SAS Software indicates more than 90% of the monthly top five losses since September 2009 totalled less than $2 billion
Fraud and Financial Crime special report 2011
Cause for continued concern
Fraud and Financial Crime sponsored Q&A: Detica NetReveal
Reducing fraud in the information age
Fraud and Financial Crime special report: Rogue trading
A many-pronged attack
Fraud and Financial Crime sponsored statement: Detica NetReveal
Identify and prevent rogue trading
Adoboli given extra month to respond to 'rogue trading' charges
Ex-UBS trader Adoboli's plea hearing has been adjourned until December
Long-time Madoff employee charged with fraud
SEC charges another Madoff executive for his role in the multi-billion dollar Ponzi scheme
