Compliance
Fatca costs will fall on European firms, says JP Morgan exec
Head of European sales says new legislation produces an "untenable situation" where if clients choose to be non-compliant, firms will have to disengage from them
China's financial regulation 'needs improvement'
The World Bank's first assessment of the financial sector in China finds inadequacies in its regulation
Energy Risk CEE: New EU regulations create confusion for firms, says panel
A new alphabet soup of financial services and energy market regulations are making firms nervous about their ability to comply, said panellists at Energy Risk's Central and Eastern Europe conference
Non-US banks stunned by Volcker compliance regime
Non-US banks stunned by Volcker compliance regime
Turner warns of capital requirements dilemma
FSA chair Adair Turner insists on the consideration of counter-cyclical macro-prudential policies in the run-up to regulatory structure overhaul
Cofunds appoints new risk and compliance director
UK investment platform Cofunds appoints Paul Miller as risk and compliance director
SEC files subpoena enforcement action against Deloitte
SEC files subpoena enforcement action against Deloitte
Axa Rosenberg clients 'betrayed' by co-founder
Clients of Axa-Rosenberg lost $217 million because its co-founder concealed an error in one of its models, regulator says
Cost of control: balancing risk and expense
Cost of control
Banks face high costs for Fatca compliance
Banks might need to set aside up to 40% of their operations change budget to make themselves Fatca compliant
Ernst & Young's Hank Prybylski discusses risk management in a time of reform
Hank Prybylski of Ernst & Young LLP discusses how firms are effectively dealing with risk management during a time of intense focus on financial regulatory reform.
Six Securities Services names Wieland as clearing chief
Urs Wieland has been named CEO of Six Securities Services
NCB appoints vice-president of financial audit and control
NCB has appointed Jonathan Klugman as vice-president of financial and audit control
Curing the culture of fraud
Internal affairs
Texas could face power shortages due to new EPA rule: ERCOT
Pollution rule could impact long-term ERCOT reliability and create additional costs as power plants devote resources to understanding the new system, ERCOT warns
California carbon scheme delay “prudent”: EDF
California's decision to delay carbon trading compliance until 2013 “will give the cap-and-trade programme it’s best chance of success”, says AB 32 co-sponsor
Energy companies warned on end-user status
Energy Risk USA speakers concerned about reliance on end-user status; urge energy companies to begin Dodd-Frank compliance planning
The ORR 20: Compliance software rankings 2011
GRC is back
SEC appoints director for national broker-dealer examination programme
Will oversee a staff of about 300 responsible for the inspections of US-based broker-dealers
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
Control frameworks need top-down approach
Control chaos
Vote for the top compliance software vendor
Vote for the top vendor in a variety of compliance and risk management categories
UK fines increase as FSA ditches soft approach
No more Mr Nice Guy