Operational Risk & Regulation - Volume 12/Issue 4
Articles in this issue
FSA report reveals shape of future FCA enforcement
Retail Conduct Risk Report foreshadows stance on consumer protection expected from the upcoming UK Financial Conduct Authority
Op risk managers with regulatory focus can gain most in interim market
Risk managers with regulatory focus stand to gain most in interim market
Operational risk reigns down in Africa
Towards salvation
Firms must be wary of reporting requirements in build-up to Co-Rep, says Logica
Consultancy warns Co-Rep requirements might still be subject to regional 'gold-plating'
How BlackRock's David Ridgway handles the truth
Handling the truth
The ORR 20: Op risk software survey
Room to move
Modelling operational risk under Solvency II
Fits and starts
UBS faces investigations over Libor manipulation
Has received subpoenas from several international authorities
SEC charges hedge fund managers with abusing client assets
New York SEC director says two managers “violated the most fundamental duties of an investment adviser"
UK FSA hits FX broker with £85,750 fine
Regulator says ActivTrades failed to properly segregate clients' funds from its own
$10 million identity fraud ring smashed by US authorities
Schemes involved staff from 11 high-profile US banks
SFO under pressure over Kaupthing investigation
Two arrested amid investigation into Kaupthing collapse say raids were a publicity stunt
Proprietary code thieves sentenced in US
Former Société Générale trader Samarth Agrawal and former Goldman Sachs programmer Sergei Aleynikov have been sentenced
FSA denies CDO insider-trading crackdown
Regulator says investigations into certain market groups do not represent a CDO insider-trading initiative
OpRisk North America: US foreclosure crisis highlights boundary risks
US foreclosure crisis highlights boundary risks
OpRisk North America: Moving OTC trades onto CCPs will increase op risks
Moving OTC trades onto CCPs will increase op risks
OpRisk North America: ‘Nasty’ new regulation threatens foreign banks in the US
The Foreign Account Tax Compliance Act expected to impact on the systems and operations both of US and foreign firms
Eiopa: Internal models beneficial under Solvency II
Eiopa: Internal models beneficial under Solvency II
MAS issues consultation paper for regulation of credit rating agencies
MAS issues consultation paper for regulation of credit rating agencies
Japan crisis proves value of multivariate scenarios
Japan shows value of multivariate scenarios
Changing Hats, April 2011
The latest movers and shakers in operational risk
UK fines increase as FSA ditches soft approach
No more Mr Nice Guy
ORX studies op risk scenario best practice
The prediction process
Types of operational risk loss by event, February 2009 to February 2011
Types of operational risk loss by event, February 2009 to February 2011
