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Supervising retail investment advice: inducements and conflicts of interest
The FCA sent out guidance that advisers and product providers share the responsibility for managing potential conflicts of interests when receiving and making payments.
Originally Published:
Thursday, January 16, 2014
Risk management guidelines related to anti-money laundering and terrorist financing issued by the Basel Committee
The Basel Committee on Banking Supervision has issued a set of guidelines to describe how banks should include the management of risks related to money laundering and financing of terrorism within their overall risk management framework.
Originally Published:
Wednesday, January 15, 2014
Amendments to Basel III's leverage ratio issued by the Basel Committee
The Basel Committee has today issued the full text of Basel III's leverage ratio framework and disclosure requirements following endorsement on 12 January 2014 by its governing body, the Group of Central Bank Governors and Heads of Supervision (GHOS).
Originally Published:
Sunday, January 12, 2014
Important steps towards completion of post-crisis regulatory reforms endorsed by Group of Governors and Heads of Supervision
The Basel committee’s oversight body, the Group of Governors and Heads of Supervision endorsed a number of important steps in the completion of the post-crisis reform agenda.
Originally Published:
Sunday, January 12, 2014
Revisions to the Basel Securitisation Framework issued by the Basel Committee
The Basel Committee has issued a paper on the Basel securitization framework as part of an initiative to reform regulatory standards for banks in response to lessons learned from the GFC.
Originally Published:
Thursday, December 19, 2013