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151-165 of 775 results
Swiss Federal Council proposes new laws to combat money laundering
By BBR Staff Writer
The Switzerland Federal Council, the apex policy making body, has adopted two consultations to curb money laundering practices and improve extra due diligence, while accepting customers’ money.
Risk Management > News
SEC to launch ‘RoboCop’ to prevent scams
By BBR Staff Writer
The US Securities and Exchange Commission (SEC) is planning to implement a new computerized data-mining software, which will automatically dictate suspicious trade activities and send alerts at publicly traded companies.
Risk Management > News
Nagler & Company, FINCAD collaborate to offer risk management services in DACH Region
By BBR Staff Writer
Financial technology firm Nagler & Company has teamed up with OTC derivatives pricing and risk technology provider FINCAD, as a service partner for its alliance program.
Risk Management > News
VION Receivable Investments purchases $72m commercial credit card portfolio
By BBR Staff Writer
Receivable investment services provider VION Receivable Investments (VION) has purchased a commercial credit card portfolio comprising nearly $6m in performing and $67m in charged-off debt.
Risk Management > News
RBS may soon face $804m penalty over Libor case
By BBR Staff Writer
Royal Bank of Scotland Group (RBS) is likely to face as much as £500m ($804m) fine from banking regulators over Libor rate rigging scandal, which might be announced next week.
Risk Management > News
Major global firms launch Liquidity Alliance to tackle collateral crunch
By BBR Staff Writer
A consortium of five central securities depositories (CSDs) have established a Liquidity Alliance to resolve the global collateral shortage incited by the 2007-08 financial crisis and successive new legislation including Dodd-Frank Act, EMIR and CRD IV.
Risk Management > News
Major banks may ink $10bn settlement over home loans case
By BBR Staff Writer
The US banking regulators are likely to sign a $10bn settlement with 14 major banks over their involvement in faulty foreclosure practices, including providing wrong paperwork and charging excessive fees.
Risk Management > News
SEC gives nod to new rules on lost holders of securities
By BBR Staff Writer
The US Securities and Exchange Commission (SEC) has approved new rules making it essential for broker-dealers to carry out searches for holders of securities with whom they have lost contact.
Risk Management > News
SEC sues Claymore Advisors and FAMCO for misguiding fund investors
By BBR Staff Writer
The US Securities and Exchange Commission (SEC) has charged two investment advisory firms and two portfolio managers, for failing to adequately inform investors about the fund’s risky derivative strategies, which caused it to collapse during the financial crisis.
Risk Management > News
SEC charges Warner Technology consultant for violating US securities laws
By BBR Staff Writer
The US Securities and Exchange Commission (SEC) has sued a New Jersey-based Huakang 'David' Zhou and his consulting firm Warner Technology and Investment for violating securities laws.
Risk Management > News
FSA proposes new rules and regulations for Libor
By BBR Staff Writer
The UK Financial Services Authority (FSA) has proposed new rules and regulations for London Interbank Offered Rate (LIBOR), following recommendations of the Wheatley Review of Libor interbank lending rates.
Risk Management > News
AFP Habitat to deploy Princeton Financial’s MIG21 for investment compliance
By BBR Staff Writer
Chile based private pension system Administradora de Fondos de Pensiones (AFP) Habitat has chosen Princeton Financial Systems’ MIG21 compliance platform, to meet investment regulatory requirements in accordance with the country’s Pension Supervisor regulations.
Risk Management > News
US FINRA signs MoU with Japan Securities Dealers Association
By BBR Staff Writer
The US Financial Industry Regulatory Authority (FINRA) and Japan Securities Dealers Association (JSDA) have inked a memorandum of understanding (MoU), to facilitate increased mutual cooperation between the regulators.
Risk Management > News
AlphaMetrix to deliver data aggregation services for NFA and CME Group
By BBR Staff Writer
Self-regulatory organizations for US futures industry National Futures Association (NFA) and CME Group have selected AlphaMetrix360 to deliver electronic data aggregation services.
Risk Management > News
European banks appeal to postpone Basel III rules by one-year
By BBR Staff Writer
European banks have urged the European Commission (EU) to delay the implementation and application of Basel III, the global banking capital rules, by a year to 2014.
Risk Management > News
151-165 of 775 results