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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.

Originally Published:

Thursday, March 27, 2014

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

The Battle over Transatlantic Financial Regulation

Originally Published:

Tuesday, March 25, 2014

Professor Chris Brummer suggests that international financial regulation appears to be the new blood sport of transatlantic negotiation

ASIC Publishes its Report on Penalties for Corporate Wrongdoing – a Springboard From Which to Kick Some Regulatory Goals?

Originally Published:

Sunday, March 23, 2014

Dr George Gilligan of the CLMR examines ASIC's new regulatory goals to combat corporate wrongdoing in Australia

Guide to the regulation of workplace defined contribution pensions

The FCA jointly developed this guide with The Pensions Regulator to provide an overview of how workplace defined contribution (DC) pensions are regulated to protect the interests of consumers.

Originally Published:

Friday, March 21, 2014

The Asian Century: Financial System Inquiry to Consider Hitching Australia's Economy to Asia

Originally Published:

Friday, March 21, 2014

Nathan Lynch, Head Regulatory Analyst at Thomson Reuters, examines the proposals of David Murray, chair of the Financial System Inquiry, for regulatory models that promote regional growth

Besso Limited fined for anti-bribery and corruption systems failings

The FCA fined Besso Limited £315,000 for failing to take reasonable care to establish and maintain effective systems and controls for countering the risks of bribery and corruption.

Originally Published:

Wednesday, March 19, 2014

SEC Announces Charges Against Brokers, Adviser, and Others Involved in Variable Annuities Scheme to Profit From Terminally Ill

The Securities and Exchange Commission announced enforcement actions against a pair of brokers, an investment advisory firm, and several others involved in a variable annuities scheme to profit from the imminent deaths of terminally ill patients in nursing homes and hospice care.

Originally Published:

Thursday, March 13, 2014

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