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Conduct, Culture & Accountability
Conduct Risk: Emerging Agenda for Regulators, Says GreySpark Report
By Editors | 04/03/2015
Conduct-related risks are an emerging regulatory frontier for risk, compliance and operations in financial institutions, says a new report.
Emerging Prudential Risks
Standard Chartered and RBS: Now Led by Regulators
By Peter Guy | 02/03/2015
The recent appointments of new leaders for Standard Chartered and Royal Bank of Scotland are as risky as they are riskless.
Market Abuse
US Authorities Probe Big Banks’ Pricing of Metals
By Editors | 25/02/2015
US officials are investigating at least 10 major banks for possible rigging of precious-metals markets, the Wall Street Journal reported citing people close to the inquiries.
Structural Regulation
DTCC’s Legal Entity Identifier Service Gathers Momentum
By Editors | 16/02/2015
The Global Markets Entity Identifier utility of the Depository Trust & Clearing Corporation, offered in collaboration with SWIFT, has issued over 165,000 legal entity identifiers (LEIs) to entities from over 140 jurisdictions, representing about 50% of all issued LEIs.
Liquidity Risk
Managing Liquidity is Key to Risk Control
By Editors | 06/02/2015
Meeting cash and liquidity management standards in Basel III are driving the development of advanced systems.
Credit Risk
IOSCO Sets Risk Standards for Non-Cleared OTC Derivatives
By Editors | 29/01/2015
The International Organization of Securities Commissions has finalized its risk mitigation standards for uncleared over-the-counter derivatives.
Clearing & Post-Trade
Hong Kong’s SFC, ESMA Sign Central Counterparties Deal
By Editors | 18/01/2015
The Securities and Futures Commission and the European Securities and Markets Authority (ESMA) have agreed to enhance cooperation in overseeing Hong Kong-established central counter parties seeking recognition by ESMA.
Conduct, Culture & Accountability
Should Bankers Even Be Paid?
By Peter Guy | 15/01/2015
Regulators have embarked on a long and winding crusade to control bankers’ salaries.
Capital Adequacy
Christmas Ghosts of Regulation Past
By Peter Guy | 24/12/2014
Regulations of Christmas Past, Present and Yet to Come pay us a visit.
Market Abuse
‘Spoofing’: Don’t do the Crime If you Can’t Do The Time
By Peter Guy | 18/12/2014
US government tries to criminalise a high frequency trading tactic. Will computers be convicted?
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