Financial Services Authority (FSA)
Lloyds abandons AMA
Lloyds has abandoned the AMA after trying to combine two models, losing key staff and coming under scrutiny from regulators
Position limits will feed risk into real economy, say energy companies
Energy market participants have expressed doubt that European position limits proposals will achieve reductions in market volatility, and warned of unintended consequences for end-users' risk management
Sweden's IFA distribution model looking good for structured products
Eyeing Sweden's IFAs
Only 15% of financial institutions have management information resources in place
Firms do not have MI risk programmes in place to deal with upcoming regulations, according to a report by think-tank JWG
LPR Nordics: Danish FSA warns industry against Solvency II "compliance exercise"
Top Danish insurance and pensions regulator uses Life & Pension Risk Nordic conference to caution firms not to treat new regulation as a box-ticking exercise - or to rely on delays
UK consumer protection: the fuss over the FSCS
The UK’s Financial Services Compensation Scheme (FSCS) was set up to ensure consumers could be compensated if their bank went under. But who should be paying for it? And what does its future hold as the country’s financial regulation framework is…
British banks ring-fence more than £5 billion for PPI compensation payouts
Banks will not appeal decision of judicial review regarding complaints against them and have set money aside for settlements
Rajaratnam: 'The Wire' meets Wall Street
OR&R speaks to lawyers on both sides of the Atlantic to divine the implications of the largest insider-trading conviction of all time
More detail needed on new UK regulatory regime
At a briefing in London, consultants Bovill called for more clarity about how the new UK regulatory regime will operate in practice
Institutions must increase scrutiny of sanctions lists after Bin Laden's death
The death of Osama Bin Laden is likely to mean movement of terrorist assets, which means banks must be on their guard, says Logica director
Firms’ misdemeanours keep FSA in the money
The total number of fines issued by the FSA since its records began has now reached £239.8 million
UK FSA has designs on retail product design
Designs on design
UK fines increase as FSA ditches soft approach
No more Mr Nice Guy
Structured products versus ETFs: Which is best?
Blurring the boundaries
The Lehman Brothers aftermath rolls on
The Lehman caseload
Modelling operational risk under Solvency II
Fits and starts
Changing Hats, April 2011
The latest movers and shakers in operational risk
JWG risk data survey shows firms slow to respond to regulation
Survey from London-based think tank shows firms not yet ready to meet the data challenge posed by new financial regulation
FSA denies CDO insider-trading crackdown
Regulator says investigations into certain market groups do not represent a CDO insider-trading initiative
UK FSA hits FX broker with £85,750 fine
Regulator says ActivTrades failed to properly segregate clients' funds from its own
EBA’s Huertas: credible stress-test is first task
Taking the strain
FSA considers increased regulation for exchange-traded products
The UK's financial regulator is considering strengthening its regulation of all kinds of exchange-traded products because of their increasing complexity
Risk officers concerned about regulators’ approach to branch liquidity
Some risk officers at international and domestic banks in the Asia-Pacific region are frustrated by the regulatory focus on country-by-country stress tests and a trend towards branch liquidity.