Compliance
US record-keeping rule hits commodity derivatives end-users
CFTC rule change forces firms to retain piles of pre-trade communications
Operational controls caused Aviva £17.6m fine
Allocation policies and correct oversight the solution
Pending EU data law may trigger class action against firms, say lawyers
Group litigation will force boards to focus on cyber risk
Regulation makes data top concern for energy traders
Firms worry about integrating data for EU and US trade reporting rules
Banks struggle with tough rules on beneficial ownership
New systems and processes necessary to prevent illicit money flows
Proposed UK fraud law takes aim at companies
Firms could be prosecuted for failing to prevent economic crime
One in 12 alternative firms to face SEC action
In 2013 SEC increased formal orders of investigations by 20%
BCBS 239 – Principles for effective risk data aggregation and reporting
Sponsored forum: Risk data aggregation and risk reporting
Fundamentally challenging: How banks are getting to grips with FRTB
Content provided by IBM
Risk Books: Risk Culture and Effective Risk Governance
Patricia Jackson discusses her new book and the different factors that influence an effective risk culture.
Actively managing risk culture in energy firms: part two
Monitoring and assessing risk culture using quantitative techniques
BAML to clear US dollars for BNP commodity finance unit
Deal comes as French bank faces one-year US dollar clearing ban
Mifid II must recognise that commodities are different
EU law threatens to engulf commodities industry in financial rules
Top 10 operational risks for 2015
Heavy regulatory costs and fragile systems will be problems in 2015
Making the case for a banker's 'duty of care'
Banker behaviour remains in the spotlight after recent rule proposals
Market manipulation won’t be stopped by Socrates or Spinoza
Graduates must be warned of the serious risks of market abuse
Fatca compliance at risk via third parties, expert warns
Questions on compliance within third parties need to be more focused
Nordea loses head of operational risk to Danske Bank, and other recent job news
Jørgensen leaves Nordea for compliance and AML role at Danske Bank
Actively managing risk culture in energy firms: part one
How energy firms can define, assess, benchmark and manage risk culture
Hedge funds face growing risk, technology and data challenges
Sponsored feature: Broadridge Financial Solutions
Conflicts of interest a key concern for Finra
Management of conflicts of interest needs attention, says regulator
Dodd-Frank swap dealer rules tricky, says Cargill compliance head
Swap dealers playing a guessing game while complying with CFTC rules
Consultancy of the Year: Baringa Partners
Firm's expansion into commodities trading sector is proving a success
Trends in risk management
Sponsored survey analysis: SunGard