Compliance
A call to compliance
Mifid, Basel II, SOX - the pace of regulatory change has increased substantially over the past few years, which has led to the large-scale expansion of compliance departments for financial services firms. But the recruitment market is finding it hard to…
Keeping an eye on complacency
When it comes to AML initiatives, companies are displaying a worrying disregard for the perils of this criminal threat, despite recognising it as such. By Ellen Davis
A Ratings Quandary
Rating agencies
With a bang or a fizzle?
Basel II
Introduction
Regulation and compliance
Knuckling down
Hedge funds
Aftershocks of the Big Bang
At the end of October, the City of London celebrated the 20th anniversary of the 'Big Bang' – the first big deregulation of the financial services industry in the UK.
The capital calculation question
Retail portfolio risk
A case for convergence?
Bank capital
Compromising on Basel II
US banks
Shaping the future
In lighter, sillier moments down the pub, when we were thinking about what to rename the magazine to help it better reflect the industry's evolution and its content, we went through some rather daft combinations.
Regulation and compliance
Introduction
A broader scope
Welcome to the rechristened OpRisk & Compliance .
The CRO road
In just over two months all US-based hedge funds with more than 15 investors and/or $25 million under management will have their own dedicated chief compliance officer.
Event News > Register now for Risk Based Compliance for Financial Services
This event will be held on Thursday 25th November. Book your place now!
Asian banks lagging in Basel II preparations, says Asian Banker Research
Most banks in Asia's leading countries are lagging in preparations for the implementation of the new Basel Accord, also known as Basel II, according to The Asian Banker Research.
Man Investments takes compliance lead
Man Investments (Man), Europe's largest hedge fund group, with approximately £40 billion in assets under management, has implemented StarCompliance's 'code of ethics' software to automate its compliance procedures across its 15 global sites.
Who Wants To Be a Compliance Officer?
High-profile scandals, hunting terrorist cash, and new regulations have made the role of compliance officer more demanding and less rewarding.
Corporate Statement > What it takes: Turning Basel II Compliance into a Competitive Edge
The heat is on. The ideals and debates have given way to the hard realities of compliance, and time is running out. But rather than engage in a reactive scramble to demonstrate compliance, firms can use the regulatory imperatives of Basel II as an…
UK banks can save money by delaying Basel II implementation, says Cass research
Delaying compliance with the New Basel Accord would save UK banks substantial amounts of money, according to research by Cass Business School of London.
Study reveals overspending on compliance
BearingPoint, a Virginia-based business-consulting firm, has released survey findings showing wasteful spending and duplication of efforts around risk management and financial transparency in leading financial institutions.
The science of compliance
The Sarbanes-Oxley Act is placing urgent demands on many US companies for accurate reporting of financial information. Clive Davidson reports on the implications for financial technology.
Order Management Systems Clamp Down
Banks are looking to Order Management Systems to achieve compliance, settle trades and take advantage of liquidity. Are your traders ready for the coming Bull Market?