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

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.

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.

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.

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.

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?

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