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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.

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

FoFA Amendment Bill Introduced into Parliament

Originally Published:

Thursday, March 20, 2014

Allens Senior Regulatory Counsel, Michael Mathieson, reports on the Bill to implement the Government’s proposed amendments to the Future of Financial Advice legislation

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

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