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The Italian Job
January 20, 2015 – 9:26 am | Be the first to comment on this story.

17By Selwyn Parker, Wolters Kluwer Financial Services’ contributor.

Stressful scenarios

Italy’s biggest banks face a tough year before they can satisfy European regulators that they are able to withstand a deep shock to the financial system. As the Bank of Italy recognises, the country’s 15 banks that were officially stress-tested late last year did not exactly cover themselves in glory in the exercise. Read the full story »

It’s not over yet – the regulatory agenda for Europe in 2015
January 14, 2015 – 12:15 pm | Be the first to comment on this story.
It’s not over yet – the regulatory agenda for Europe in 2015

By Michael Imeson, Wolters Kluwer Financial Services’ contributor.
Many of the European Commission’s reforms of financial regulation are complete, but more proposals are pending for 2015 and a number of loose ends need to be tied …

Improving UK complaints handling – really
January 7, 2015 – 10:10 am | Be the first to comment on this story.
Improving UK complaints handling – really

By Adam Samuel, Wolters Kluwer Financial Services’ contributor.
The title of the FCA’s December 2014 consultation paper “Improving complaints handling” takes the notion of the gap between hope and expectation to a new level. Despite numerous …

Pushing the Boundary: MiFID II and the Regulatory Perimeter
January 5, 2015 – 9:08 am | Be the first to comment on this story.
Pushing the Boundary: MiFID II and the Regulatory Perimeter

By Martyn Oughton, Wolters Kluwer Financial Services’ contributor.
The introduction of the Markets in Financial Instruments II (MiFID II) Directive, set for the start of 2017, is going to represent another fundamental shift in the regulation …

Regulatory Radar – January 2015
January 2, 2015 – 5:50 am | Be the first to comment on this story.
Regulatory Radar – January 2015

Steve Blackbourn takes a glance at key regulatory events, developments and publications issued during the month of December 2014.

All eyes on conduct risk, and how to mitigate it
December 31, 2014 – 7:00 am | Be the first to comment on this story.
All eyes on conduct risk, and how to mitigate it

By Michael Imeson, Wolters Kluwer Financial Services’ contributor.
Conduct risk has emerged as one of the biggest threats facing banks. So what are banks and regulators doing about it, asks Michael Imeson.

Power to the People – is it always a good thing in financial services?
December 24, 2014 – 6:28 am | Be the first to comment on this story.
Power to the People – is it always a good thing in financial services?

By Sue Berwick, Wolters Kluwer Financial Services’ contributor.
Whenever the Financial Ombudsman Service (FOS) publishes complaint statistics many of us go straight to the number of new complaints submitted about payment protection insurance (PPI). For the …

Basel III on course
December 23, 2014 – 7:53 am | Be the first to comment on this story.
Basel III on course

By Michael Imeson – Wolters Kluwer Financial Services’ contributor.
The bulk of the Basel III capital and liquidity regulations are now in place, with the remaining requirements to be phased in over the next four years. …

The Regulatory Side of Ebola
December 17, 2014 – 7:39 am | Be the first to comment on this story.
The Regulatory Side of Ebola

By Martyn Oughton, Wolters Kluwer Financial Services’ contributor.
This latest outbreak of the Ebola virus, that has generated so much media coverage, is showing no signs of abating. The number of deaths from the virus quoted …

Spotlight on the UK’s FCA Compliance Oversight Function: CF10
December 9, 2014 – 11:36 am | Be the first to comment on this story.
Spotlight on the UK’s FCA Compliance Oversight Function: CF10

By Sharon Williams, Wolters Kluwer Financial Services contributor.
All regulated firms are required to have a compliance oversight function. Firms and those approved persons performing the compliance oversight function should be aware that the regulators have …

Gone in 60 seconds: there’s more than one way to punish forex rate-riggers
December 9, 2014 – 11:31 am | Be the first to comment on this story.
Gone in 60 seconds: there’s more than one way to punish forex rate-riggers

By Selwyn Parker, Wolters Kluwer Financial Services’ contributor.
It’s the 60 seconds that has brought unwanted publicity – and penalties — to a gilded portfolio of international banks. At precisely 15.59.30 London time begins the one …

Spotlight on UK’s FCA Controlled Functions
December 5, 2014 – 8:24 am | Be the first to comment on this story.
Spotlight on UK’s FCA Controlled Functions

By Sharon Williams, Wolters Kluwer Financial Services’ contributor.
Controlled functions apply to all firms regulated by the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) and dual regulated firms. They are roles that the regulators …

UK’s FCA TR 14/18 on complaint handling analysed
December 5, 2014 – 8:22 am | Be the first to comment on this story.
UK’s FCA TR 14/18 on complaint handling analysed

By Adam Samuel, Wolters Kluwer Financial Services’ contributor.
The publication of November’s TR 14/18 on complaint handling did not bring hope to those of us who take complaint handling really seriously. A member of the FCA …