Fraud
SEC mandate over rating agencies strengthened by Dodd-Frank
Closure of SEC investigation into Moody's demonstration of the regulator's new powers under Dodd-Frank
Retail brokers win US leverage battle
The US CFTC leverage rules on retail foreign exchange transactions less harsh
The UK revamp: What will get lost in the shuffle?
A new fraud-fighting body is being created as part of the UK government’s shake-up of financial regulation. Some welcome the proposed Economic Crime Agency, saying its integrated approach is just what is needed. Others worry valuable aspects of the old…
Outsourcing poses two-way operational risks for firms and service providers
First-time outsourcers might have overlooked or underestimated operational risks involved
UK carbon fraud measures could impact market
The UK authorities' decision to introduce a reverse charge mechanism on carbon credits from November could increase costs and push trading on to exchanges, say market participants
HKMA issues incident response and management procedures
HKMA reminds firms of their requirements in response to incidents affecting customers
Goldman preps for reputational fallout from CDO lawsuits
SEC civil action could prompt deluge of shareholder actions
Compliance vendors triumph in adversity
Compliance providers have found new customers as a result of the recently changed regulatory environment, while adopting integrated approaches to make the best of tightened budgets everywhere. David Benyon reports
Responding to data theft
Secrets and lies
Report: Fraud rising as compliance struggles for recognition
Ernst & Young Fraud Survey indicates continued need for anti-fraud measures, even against a tough financial background
Fraud crackdown will boost carbon market credibility, say experts
Market experts say Europe-wide crackdown on carbon trading fraud will strengthen market credibility and lead to tighter regulation
US SEC had suspected Stanford Ponzi scheme since 1997
A report from the US Securities and Exchange Commission (SEC) says the Stanford fraud was ignored for a decade because it was too big and too complex.
Sponsored webinar: Strengthening the defences
The challenges that fraud presents to financial institutions
Romania bans OTC emissions trading to combat fraud
Romanian authorities have banned European Union carbon emissions allowances (EUA) in the over-the-counter derivatives market to prevent EUA tax fraud, after ruling that these contracts are now classed as equity securities and therefore can only be bought…