31 August 2014

Financial Services Regulation

Archive for: September, 2011
Curtis NashCognia - London

The world's first hapless mobile call recording solution

28 September 2011  |  2910 views  |  0  |  Recommends 0

Buying something because you have to is no fun. In this regard, many of today’s first and second-generation mobile call recording systems currently being implemented by investment banks are, frankly, dull. They may help you meet the FSA phone recording regulations. (Provided you pick the right one.) They may move your governance controls up a not...

TagsDealing rooms
Curtis NashCognia - London

Five myths relating to mobile recording for FSA compliance

22 September 2011  |  4257 views  |  0  |  Recommends 0

Speaking to prospects and customers about their experiences in trialing and using different mobile-recording systems, I’m surprised by some of the myths that I hear. If you’ve still not implemented a mobile recording system to meet the Financial Service Authority’s 14 November deadline for the recording of mobile calls, then here’s a few debunke...

TagsSecurityDealing rooms
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Curtis NashCognia - London

Will FSA mobile regulations render rogue traders obsolete?

19 September 2011  |  3746 views  |  1  |  Recommends 0

Oh to be in the UBS compliance team this week. With news that another “rogue trader” has slipped under the radar in such spectacular fashion—at a time when the world’s banking system is in such a frag...

TagsDealing roomsWholesale banking
Curtis NashCognia - London

Mobile recording: Should compliance officers be frightened?

06 September 2011  |  4637 views  |  0  |  Recommends 0

Last week saw the UK Financial Service Authority’s (FSA) latest win in its war against market abuse when it announced that it had imposed an £8m fine on Swift Trade for layering—a practice of placing ...

TagsDealing roomsWholesale banking
Gaurav HandaOracle Financial Services - Redwood Shores

The Road to Basel III: Navigating the Curves Ahead

02 September 2011  |  3467 views  |  0  |  Recommends 0

Financial institutions in Europe and North America will be eager to turn the page on August. Far from the anticipated doldrums of summer, we witnessed a return to stomach-churning market volatility, ...

TagsRisk & regulation
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