Compliance
Insurance Risk North America: CROs must avoid conservative culture
Regulatory mindset 'creates no value' for US insurers
FCA skilled persons reviews 'a distraction from compliance', experts warn
Stronger FCA focus may be diverting resources from day-to-day compliance tasks
Risk USA: Hire more quants in compliance, says SEC official
SEC official warns compliance teams at quant funds lack qualifications and knowledge to effectively monitor trading strategies
Risk USA: Link compensation to 'risk awareness', say CROs
Deutsche Bank and CQS using risk indicators to adjust pay
Energy trading firms unprepared for Emir and Remit, poll finds
Many energy market participants are worryingly unprepared for Emir and Remit, according to a recent poll by Energy Risk
The compliance implications of AIFMD
Managed expectations
Optimising the capital ratio under Basel III
Sponsored statement: Moody's Analytics
Federal regulation may increase compliance burden, head of op risk warns
US insurers dealing with potentially heavier load from federal regulation and the Orsa
Energy end-users may miss Dodd-Frank reporting deadline
Energy derivatives end-users face uphill struggle to comply with reporting rules when no-action relief expires
Fatca risks internal wranglings in FFIs
The Fatca tension
Still no end in sight for US banks' parallel run
Overtaken by events
Firms seen upping surveillance and self-reporting after Ferc fines
Ferc penalties against Barclays and other banks expected to bolster compliance with market manipulation rules
Bribery laws pose compliance challenge for energy firms
Oil and gas firms still face compliance challenge from anti-bribery laws, despite court judgement against Dodd-Frank disclosure rules
Hedge fund managers not ready for AIFMD
Two-fifths of hedge fund managers are waiting for the finalisation of EU regulations before taking action to become compliant, according to a survey by Preqin on implementation of AIFMD
BP registers as swap dealer
BP registers its US-based energy trading subsidiary as a swap dealer, becoming the first oil and gas major to opt for dealer status under Dodd-Frank
Weight of regulation could stall growth of hedge fund industry
The amount of regulation hitting the hedge fund industry could put the brakes on development, stifling innovation and raising the barrier to entry for new managers too high, say risk managers
Gillette leaves SEC after 27 years
Head of Chicago regional office set to join law firm
Sponsored video: Hank Prybylski on op risk challenges for the year ahead
Operational risk is facing a renaissance and could dominate the risk agenda of financial institutions for the next decade, says Hank Prybylski, global head of financial services risk management at Ernst & Young
Ferc chief Wellinghoff to step down
Chairman who presided over more aggressive stance on power market manipulation to step down, agency says
France and Germany seeking greater Fatca reciprocity before signing IGAs, expert says
Questions remain about why France and Germany are yet to sign their IGAs with the US
Energy Risk USA: Official sheds light on Ferc manipulation sleuths
Ferc is now monitoring markets in near real time for evidence of manipulation, warns enforcement official
Energy Risk USA: O'Malia urges CFTC tech overhaul
CFTC must revamp its technological infrastructure to cope with a flood of swap trade data, says commissioner
Energy Risk USA: Dodd-Frank implementation 'maddening', says O’Malia
CFTC commissioner blasts “adhocracy” of last-minute exemptions to Dodd-Frank rules
Standardise op risk reporting, RBS’s Spielmann says
Despite the crisis giving operational risk the recognition it deserves, its value continues to be called into question. Craig Spielmann, head of operational risk at RBS Americas, talks about learning from credit and market risk practices and the benefits…