31 July 2014

MiFID

Archive for: October, 2012
a non-active Finextra member

Can you really test ethical behaviour?

24 October 2012  |  7043 views  |  0  |  Recommends 0

I have never known ethics to be talked about so much as in the last year or two and we all know why. However, I was intrigued the other day when the Chartered Institute of Investment Services (CISI) (of which I am a founder member having been grandfathered in through my Stock Exchange membership) sent me an email stating that from next year all m...

TagsRisk & regulationWholesale banking
a non-active Finextra member

Ratings gone quiet or the lull before the calm

18 October 2012  |  2720 views  |  0  |  Recommends 0

Since LIBOR broke into media frenzy territory the noise around ratings has gone pretty quiet. Although we have seen the appointment of Kevin Milne one of the City’s best assets by RVS the Singaporean headquartered Rate Validation Services benchmarking company and we have had Martin Wheatley the UKs regulatory great hope, if not quite yet saviour,...

TagsRisk & regulationPost-trade & ops
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a non-active Finextra member

Getting to grips with Rogue Traders

17 October 2012  |  3225 views  |  1  |  Recommends 0

At a City forum yesterday a representative from the FSA presented the seventeen definitions behind the operational risk management principles, which financial services firms are expected to practice t...

TagsTrade executionRisk & regulation
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