Financial Conduct Authority (FCA)
At the mercy of politicians
UK Budget highlights insurers' vulnerability to political risk
Icap announces group chief risk officer, and other recent job news
Wendy Phillis joins from State Street Global Markets
Law firm of the year: Stephenson Harwood
Law firm at the heart of bitter and complex fraud cases
UK regulatory penalties to banks reach 'staggering' levels
Recently formed FCA ramps up level of fines compared with predecessor, FSA
Co-operative Bank warns of risks after losing £1.3 billion in 2013
Low profits and risk concerns predominant in report by UK-based bank
UK structured products complaints fall on improved education
Barclays structured product falls foul of financial ombudsman
IT and consumer credit to be FCA focus in 2014
UK regulator lists risks for the year ahead
Finisterre Capital appoints Burnside as partner
Anglo-Italian Tages Capital forms partnership with Germany’s GDW AM
IFAs unwilling to advise on structured products, says FCA
Lack of knowledge affecting sales in the UK
Lookback: FCA reviews RDR implementation
UK regulator checks 'independent' status of IFAs
Commodity trading houses have banks on the ropes: so what?
Trading houses are definitely on the rise, but risk fears are overdone
Europe’s management companies find new life in AIFMD
Can management companies save hedge funds from the threat of AIFMD?
Leder returns to SEC in cross-border role, and other recent job news
Paul Leder rejoins after 14-year stint in private practice
Banks welcome FCA focus on commodity trading houses
UK regulator right to question risk posed by commodity trading houses, bankers argue
FCA calls a halt to ongoing commission on retail products
FCA guidance on inducements will put an end to ongoing commission paid by distributors to advisers in the UK
First stage of IRHP redress complete
FCA-ordered review finds 18,737 'non-sophisticated customers' sold hedges, most against the rules; payout could reach £2.67 billion
AIFMD applications face timing pitfalls
Timing applications
Few hedge funds applying for AIFMD authorisation
Funds delay on AIFMD authorisation
Dealing with a Section 166 review
Over £176 million spent on Section 166 reviews last year – can you afford to get it wrong?
UK and EC clash over forex reporting exemption
The FCA and EC diverge over whether certain forex derivatives are subject to mandatory reporting
FCA names 'skilled persons' for RBS lending review
Promontory Financial and Mazars will examine evidence
Structured deposits face uncertain future under UK ring-fence plans
Caught in the net
AMA, RCSAs and dealing with Libor at Rabobank
Dutch bank Rabobank has shaken off its Libor label pretty quickly, leaving it to focus on its co-operative roots, the AMA and its RCSA roll-out. Anne Snel-Simmons, head of operational risk management at Rabobank, talks to OpRisk about the challenges of…
Benchmark survey and Lloyds/Bank of Scotland fine underline need for bonus scrutiny
£28 million penalty for poor incentives – but op risk still largely excluded from pay policies, survey finds