17 December 2017

Financial Services Regulation

A Finextra Community Group

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Archive for: September, 2011
a non-active Finextra member

The world's first hapless mobile call recording solution

28 September 2011  |  3458 views  |  0 comments | recommendations 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 notch...

a non-active Finextra member

Five myths relating to mobile recording for FSA compliance

22 September 2011  |  4775 views  |  0 comments | recommendations 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 debunked:...

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Retired Member
a non-active Finextra member

Will FSA mobile regulations render rogue traders obsolete?

19 September 2011  |  4214 views  |  1 comments | recommendations 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...

TagsWholesale banking
Retired Member
a non-active Finextra member

Mobile recording: Should compliance officers be frightened?

06 September 2011  |  5433 views  |  0 comments | recommendations 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 ...

TagsWholesale banking
Gaurav Handa
Gaurav HandaOracle Financial Services - Redwood Shores

The Road to Basel III: Navigating the Curves Ahead

02 September 2011  |  3968 views  |  0 comments | recommendations 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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Founded by Anthony Carfang
Date 01 Jul 2010
Group profile
This network is for financial professionals interested in staying up to date on financial services regulation happening anywhere in the world. CFOs, bankers, fund managers, treasurers welcome.
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