Compliance
CFTC has ‘incredible view’ into markets – surveillance chief
Ex-trader Hunter sheds light on agency’s monitoring and forensic analysis capabilities
Financial Crime Survey 2016: Compliance and online fraud top the financial crime investment charts
Sponsored survey analysis: BAE Systems
Law firm of the year: Stephenson Harwood
Small is beautiful for the regulatory litigation practice, representing banks in high-profile cases
Operational risk managers told to do less to succeed
Resist temptation to intervene often, says head of op risk at UBS Asset Management
Compliance burden jeopardises EU securitisation revival
Parliamentary rapporteur undermines STS with investor due diligence plan
Banks seek to make op risk taxonomies less taxing
Difficulty of devising and implementing taxonomies leads major banks to start sharing ideas
Supply chain risk management and compliance: Simplifying a complex process
Sponsored feature: ACL
Banks take various approaches to tackling conduct risk
Definitions, reporting lines, frameworks and metrics vary among major banks, Risk.net research shows
New EU market abuse rules worry energy traders
Ban on insider trading in commodities seen as “very tricky”
Banks collaborate on non-financial risk taxonomy
Operational risk practitioners from large banks working together on industry best practice
Banks fear capital add-ons for BCBS 239 failures
Capital add-on is "a stick that's out there", says Santander's Goddard
How ‘Death Star’ and AIG sparked a new era in regulation
Ferc and the CFTC have overlearned the lessons of past crises
Commodity traders cheer CFTC record-keeping fix
Regulator softens Dodd-Frank rule that energy and grain traders saw as burdensome
The client onboarding challenge: Getting to grips with 2016’s AML and KYC compliance risks
Sponsored webinar: Thomson Reuters
US spoofing crackdown is a case of misplaced priorities
There are worse HFT practices than spoofing, yet only spoofers go to jail
In manipulation cases, "everybody's doing it" is no excuse
From natural gas scandal of 2000s to Libor-rigging, troubling patterns persist
SEC targets ‘switching’ of structured products
Frequent early redemptions used to boost broker commissions
Mifid II – Will you be ready to report?
Sponsored feature: Abide Financial
Operational Risk & Regulation Awards 2015: Best Compliance Product
Sponsored video: BAE Systems Applied Intelligence
Regulator of the year: Financial Action Task Force
FATF promotes risk-based approach in response to worries about 'de-risking'
Best managed/support services provider: Thomson Reuters Org ID
Thomson Reuters managed service eases burden of know-your-customer rules
Best operational risk product: Wolters Kluwer OneSumX
Firms look to planning suites to get ahead of regulatory expectations
Alberta energy regulator urges firms to boost compliance
MSA official’s comments come in wake of TransAlta manipulation fine
Top US energy regulator defends market manipulation probes
Bay: Ferc has given ‘a lot of clarity’ on definition of illegal trading