Compliance
Best practices in compliance
With regulators’ power set to increase and individual executives increasingly likely to be prosecuted when there is a compliance breach, it is crucial that the compliance function is properly structured. In part two of their series, Michael Berry and…
The risk of getting compliance wrong
A wave of investigations and prosecutions in recent years has driven many top energy players from the business. With regulators’ power set to increase, getting compliance right is now more important than ever. In the first of a two-part series, Michael…
Interview: Richard Alderman, the UK's Serious Fraud Office director
When Richard Alderman became director of the UK Serious Fraud Office in 2008, he set about to try to make the SFO more approachable, and encourages financial firms to pop in for a chat about how they can better manage fraud risks. He talks to Nick Kochan
Ukraine: Regulation weaknesses underline need for deeper financial reform
Nick Kochan delves into Ukraine’s regulation of its financial sector and the approach its banks are taking to fraud. He finds that, despite appearances, the country and its banks have a long way to go before their controls meet the high standards…
Profile: Deepa Chandrasekhar, chief of compliance at United Gulf Bank
A career spanning various banking disciplines in a variety of roles has made Deepa Chandrasekhar, chief of compliance at United Gulf Bank, fluent in the language and customs of the compliance, risk and audit units, meaning she can help them work together…
Market report: A New Era of Accountability and Flexibility Shapes ETRM Requirements
Amphora discusses how ETRM systems reduce the compliance burden and meet the needs of increased regulatory scrutiny and, ultimately, help traders make more informed decisions
Sepa in trouble from all angles, says report
The European Union’s drive to harmonise payments is overly ambitious, warns study
Axis of AML
Countries in the Middle East and Asia have a history of battling against money laundering and terrorist funding. Now the financial crisis has brought it home to regulators and banks that more needs to be done to stem the rising tide of money laundering,…
Ernst & Young survey shows risk management bigger, but not better
NEW YORK - Actions taken by firms to strengthen their risk management procedures are too often proving ineffective and possibly counter-productive, a survey has revealed.
Ex-fund manager ignored compliance rules
Daily news headlines
Key questions surrounding integrated GRC
Protiviti
Evolving GRC - the focus on a holistic approach
Introduction
UK regulator bans compliance director
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US banks keep a close eye on compliance
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All in one -- Software rankings
Budgets are under pressure, and more and more firms are opting for a single platform provider for all their compliance software needs. Victoria Pennington looks at which companies they are turning to, and why
ASX goes live with iAppraise
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Beyond compliance
Community-level emission reduction projects are in demand as compliance buyers diversify carbon offset portfolios and corporates seek out sustainable green projects. Voluntary and compliance market methodologies and pricing are therefore becoming…