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Banks: Conduct costs, cultural issues and steps towards professionalism

McCormick, Roger and Stears, Chris. Banks: Conduct costs, cultural issues and steps towards professionalism. Law and Financial Markets Review, Vol. 8, No. 2, Apr 2014: 134-144. Availability: <http://search.informit.com.au/documentSummary;dn=364135340933610;res=IELBUS>

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Tuesday, April 1, 2014

CLMR Submission to the Financial System Inquiry

Professor O'Brien (CLMR Director) and Dr George Gilligan (CLMR Senior Research Fellow) author the CLMR submission to the Australian Financial System Inquiry.

Originally Published:

Tuesday, April 1, 2014

Guidance on external audits of banks issued by the Basel Committee

The Basel Committee on Banking Supervision has today published supervisory guidance on External audits of banks.

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Monday, March 31, 2014

New approach for measuring counterparty credit risk exposures finalised by the Basel Committee

The Basel Committee published a final standard on the treatment of derivatives-related transactions in its capital adequacy framework.

Originally Published:

Monday, March 31, 2014

Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation

The Financial Conduct Authority (FCA) has announced plans to look into how firms can reduce the risk of traders manipulating key benchmarks as a central part of its Business Plan for 2014/15.

Originally Published:

Monday, March 31, 2014

Capital Requirements Directive IV

The FCA has published their final rules to implement the Capital Requirements Directive IV, which comes into force on January 1 of 2014.

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Thursday, March 27, 2014

Regulating Culture and the Manipulation of Financial Benchmarks and Currency

Originally Published:

Thursday, March 27, 2014

This week's CLMR workshop on the manipulation of LIBOR and associated benchmarks prompted consideration of the optimal role for 'regulating culture' in reform efforts.

Regulating Benchmarks Remains a Challenge, Supervisors Say

Originally Published:

Thursday, March 27, 2014

The first of four CLMR workshops on Financial Benchmark and Currency Manipulation was held this week at which regulators have highlighted the challenges of regulating benchmarks post-LIBOR scandal.

Santander UK fined £12.4m for widespread investment advice failings

The FCA fined Santander £12.4m for failing to ensure it gave suitable advice to its customers and that its financial promotions and communications with customers were clear, fair and not misleading.

Originally Published:

Wednesday, March 26, 2014

Regulating Culture: Operational Risk and the New Approach to Supervision

Originally Published:

Wednesday, March 26, 2014

Financial services organisations need to move beyond a "metrics" focus to factor in organisational culture as an essential part of their operational risk framework.

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