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Read the latest Securities articles, news and commentary from industry experts focused on the risks facing compliance and risk professionals. More articles »

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Demonstrating a proper control of IT security vulnerabilities
August 14, 2014 – 6:48 am | Be the first to comment on this story.

46By Steve Blackbourn, Wolters Kluwer Financial Services’ contributor.

Issues of data risk and security can raise the interest and criticism of numerous regulators, whether it involves personal information or simply an inappropriate use or misuse of customer and/or business related data and records e.g. transactions. Read the full story »

European policy makers add detail to the Solvency II regime
August 11, 2014 – 10:04 am | Be the first to comment on this story.
European policy makers add detail to the Solvency II regime

By Michael Imeson, Wolters Kluwer Financial Services’ contributor.
After many delays, EIOPA, the European Commission and national regulators are putting the finishing touches to Solvency II, writes Michael Imeson.
Risk and capital management experts in insurance companies …

Junckernaut rolls into Brussels – new European Commission president wants a banking supremo
August 7, 2014 – 5:19 am | Be the first to comment on this story.
Junckernaut rolls into Brussels – new European Commission president wants a banking supremo

By Selwyn Parker, Wolters Kluwer Financial Services’ contributor.
The Bank of England and the City of London may be spoiling for a fight with the incoming president of the European Commission Jean-Claude Juncker over plans to …

European policy makers add detail to the Solvency II regime
August 7, 2014 – 5:16 am | Be the first to comment on this story.
European policy makers add detail to the Solvency II regime

By Michael Imeson, Wolters Kluwer Financial Service contributor.
After many delays, EIOPA, the European Commission and national regulators are putting the finishing touches to Solvency II, writes Michael Imeson.
Risk and capital management experts in insurance companies …

Achieving regulatory karma in a dynamic UK landscape
August 6, 2014 – 12:05 pm | Be the first to comment on this story.
Achieving regulatory karma in a dynamic UK landscape

By Steve Blackbourn – Wolters Kluwer Financial Services’ contributor.
Most firms should by now be familiar with the ‘twin peaks’ regulatory environment created in 2013 with the passing of the former FSA and the twin-peaks approach …

UK Financial Promotions – Part 3: Recent regulatory development
August 4, 2014 – 4:59 am | Be the first to comment on this story.
UK Financial Promotions – Part 3: Recent regulatory development

By Sharon Williams, Wolters Kluwer Financial Services’ contributor.
This is the third in a series of three articles focussing upon Financial Promotions. The first article provided an overview of the UK Financial Promotions Regime, the second …

Regulatory Radar – Issue 30 : August 2014
August 4, 2014 – 4:55 am | Be the first to comment on this story.
Regulatory Radar – Issue 30 : August 2014

Steve Blackbourn takes a glance at key regulatory events, developments and publications issued during the month of July 2014.
In this edition of the Wolters Kluwer Financial Services’ Regulatory Radar Steve looks at:
 
 
 

Recent Reports on Money Laundering Should Serve as a Wake-up Call to Financial Institutions in Asia
July 31, 2014 – 1:42 pm | Be the first to comment on this story.
Recent Reports on Money Laundering Should Serve as a Wake-up Call to Financial Institutions in Asia

by Michael Thomas, Director North Asia, Wolters Kluwer Financial Services
The United Nations Office on Drugs and Crime estimates that 2.7% of global gross domestic product, or nearly $2 trillion, is being laundered every year, making …

The FCA Annual Report analysed
July 29, 2014 – 5:01 am | Be the first to comment on this story.
The FCA Annual Report analysed

By Adam Samuel, Wolters Kluwer Financial Services’ contributor.
Anyone expecting the FCA’s recent Annual Report to contain huge revelations about the nature of regulation was probably looking at the wrong document. A regulator’s annual report is …

All creatures great and small – some thoughts on pet insurance
July 28, 2014 – 7:16 am | Be the first to comment on this story.
All creatures great and small – some thoughts on pet insurance

By Sue Berwick, Wolters Kluwer Financial Services’ Senior regulatory Analyst.
Figures issued by the Association of British Insurers (ABI) in April 2014 underlined that Britain is a nation of pet-lovers. According to the data, in 2013 …

Getting into order for a major overhaul of the UK client assets regime
July 24, 2014 – 10:07 am | Be the first to comment on this story.
Getting into order for a major overhaul of the UK client assets regime

By Steve Blackbourn – Wolters Kluwer Financial Services’ contributor.
The client asset (CASS) regime is a principal element of the regulated conduct environment overseen by the Financial Conduct Authority (FCA). The latest overhaul and revisions made …

UK Financial Promotions – Part 2: Rule Application & Exemptions
July 24, 2014 – 10:03 am | Be the first to comment on this story.
UK Financial Promotions – Part 2: Rule Application & Exemptions

By Sharon Williams, Wolters Kluwer Financial Services’ contributor.
This is Part 2 of a series of three articles focussing upon Financial Promotions. The first article provided an overview of the UK Financial Promotions Regime. In this …

Hard lessons: the big banks learn from the PPI episode
July 15, 2014 – 7:27 am | Be the first to comment on this story.
Hard lessons: the big banks learn from the PPI episode

By Selwyn Parker, Wolters Kluwer Financial Services’ contributor.
That misbegotten product, payment protection insurance, has become the bane of UK’s Financial Ombudsman Service. Every week, Ombudsman Tony Boorman’s complaints desk takes around 6,000 calls from unhappy …