- Regulation
- Technology
- Resources
Latest News
- Industry
-
Culture is everyone’s responsibility says HSBC’s Caoimhe Benmaou
HSBC’s global head of risk frameworks discussed the board’s role in developing and driving a strong ethical culture at the City & Financial Summit in London.
-
Experts unplugged: Challenges and opportunities in surveillance today
This series of articles is based on an extended dialogue between compliance and surveillance veterans Emily Wright and Rob Mason.
-
Experts unplugged: FCA non-financial misconduct survey
This series of articles is based on an extended dialogue between compliance and surveillance veterans Emily Wright and Rob Mason.
-
Experts unplugged: Ensuring senior management follows the rules
This series of articles is based on an extended dialogue between compliance and surveillance veterans Emily Wright and Rob Mason.
-
IOSCO consults on pre-hedging practice
The consultation document sets out a proposed definition of pre-hedging and a number of recommendations for regulators as well as clients.
-
Macquarie Bank fined for inadequate risk management practices
A trader was able to circumvent the bank’s controls in order to hide his losses for almost two years.
-
Podcast: Emma Parry on conduct risk, whistleblowing and “speak-up” culture
We spoke to Emma Parry about her role as an expert witness in a high court case, her experience as head of global conduct risk and the fallout of recent whistleblowing cases.
-
Rising tide of non-financial misconduct increases legal and compliance risk
Cases at Bank of Montreal and FDIC alongside a UK FCA survey on harassment make 2024 look a lot like 2023.