Compliance
Weight of regulation could stall growth of hedge fund industry
The amount of regulation hitting the hedge fund industry could put the brakes on development, stifling innovation and raising the barrier to entry for new managers too high, say risk managers
Gillette leaves SEC after 27 years
Head of Chicago regional office set to join law firm
Sponsored video: Hank Prybylski on op risk challenges for the year ahead
Operational risk is facing a renaissance and could dominate the risk agenda of financial institutions for the next decade, says Hank Prybylski, global head of financial services risk management at Ernst & Young
Ferc chief Wellinghoff to step down
Chairman who presided over more aggressive stance on power market manipulation to step down, agency says
France and Germany seeking greater Fatca reciprocity before signing IGAs, expert says
Questions remain about why France and Germany are yet to sign their IGAs with the US
Energy Risk USA: Official sheds light on Ferc manipulation sleuths
Ferc is now monitoring markets in near real time for evidence of manipulation, warns enforcement official
Energy Risk USA: O'Malia urges CFTC tech overhaul
CFTC must revamp its technological infrastructure to cope with a flood of swap trade data, says commissioner
Energy Risk USA: Dodd-Frank implementation 'maddening', says O’Malia
CFTC commissioner blasts “adhocracy” of last-minute exemptions to Dodd-Frank rules
Standardise op risk reporting, RBS’s Spielmann says
Despite the crisis giving operational risk the recognition it deserves, its value continues to be called into question. Craig Spielmann, head of operational risk at RBS Americas, talks about learning from credit and market risk practices and the benefits…
FSA specialist takes over compliance at Axa IM
Murdoch joins London investment manager
RBS executive calls for AML and KYC collaboration
International banking head backs central utility function
Lloyds names new conduct and compliance head
Elderfield moves from Irish central bank
Energy firms give mixed response to Dodd-Frank swap reporting delay
Dodd-Frank delay gets mixed response from energy firms
Energy firms struggle to meet Dodd-Frank reporting deadline
With Dodd-Frank reporting and record-keeping rules set to come into effect on April 10, energy companies worry they won’t be ready in time
OpRisk North America: Disconnect between op risk and compliance functions damaging business efficiency
Business units in banks are being asked the same question too many times, op risk heads warn
Is fully compliant SSI data finally in sight?
Sponsored statement: Omgeo
Editorial: Business continuity is about planning in advance, whether for epidemics or storms
Preparing for the worst
Hedge funds fall short on compliance
Operational due diligence analysts find more red flags in hedge funds’ compliance and regulatory functions than any other area
Sommers blasts CFTC's approach to Dodd-Frank
Compliance timetable for new swap rules was too aggressive, says outgoing CFTC commissioner
'Uneconomic trading' at issue in Barclays power dispute
Barclays seeks to defend itself against power market manipulation allegations by contesting regulator’s pursuit of uneconomic trading
Ferc cracks down on power market manipulation
Danger of death
HSBC fine ‘warning shot’ to industry, experts say
HSBC's $1.9 billion fine a sign that regulators have 'real bite'
HSBC appoints head of financial crime compliance
The new role follows a restructuring at HSBC in light of money laundering penalties
Special report: Fatca
Special report: Fatca