4466 Results from /regulation
Robert Siciliano Security Analyst at Safr.me
When hiring new employees the first concern is often “how good of an employee will they be” but in fact the first concern should be “are they actually who they say they are” because regardless of the nature of your business, an employee who isn’t actually who they say they are can wreak havoc on your business when there are no consequences to thei...
25 April 2012 /security /regulation
Gaurav Handa Director Marketing at Oracle Financial Services
Federal Reserve Governor Daniel Tarullo recently defended the importance of stress tests and regular capital review exercises in ensuring the safety and soundness of the U.S. financial system. In a speech delivered to the Federal Reserve Bank of Chicago last week, Tarullo said that higher capital standards alone were not enough to do the trick, an...
24 April 2012 /regulation
Retired Member
The concept of centrally clearing all OTC derivatives - both standardized and complex derivatives - is flawed. The current regulatory expectation for institutional investors is to go through a central clearing party for an expanded range of products. Compounding this requirement is that derivatives will need to be reported through trade repositori...
While discussions about the final contents of MiFID 2 seem set to continue for some while yet, the European Securities and Markets Authority has anticipated some important MiFID 2 issues in a set of Guidelines issued (rather quietly!) in February: Guidelines on systems and controls in an automated trading environment for trading platforms, investm...
23 April 2012 /regulation
Marc Murphy CEO at Fenergo
Low levels of process automation across client on-boarding and account opening in the Investment and Corporate banking space provides on-going challenges for banks and financial institutions in terms of revenue growth, client service and compliance management. So why has this space remained neglected for so long? Well, in fairness it’s not so much...
23 April 2012 /regulation /wholesale
The 2012 Identity Fraud Report: Social Media and Mobile Forming the New Fraud Frontier report released by Javelin Strategy & Research Data Breaches increasing and more damaging – “One likely contributing factor to the fraud increase was the 67 percent increase in the number of Americans impacted by data breaches compared to 2010. Javelin Strat...
19 April 2012 /security /regulation
In Part I of my Risk-based Collections blog series, I described the differences between Judgmental and Statistical Scoring models. In part II, I will expand upon the specific uses of these models, in particular managing existing credit lines. For evaluating a request for additional credit or determining the collectability of an existing customer...
18 April 2012 /regulation Treasury Management
If you were hit by a bus, and passed on to whatever heaven might exist, would you care about your Facebook page? Probably not. But your loved ones more than likely would. Things like email, websites, and social media profiles are considered “digital assets,” which may have some monetary value, but for the most part offer sentimental value to the f...
18 April 2012 /security /regulation
I've let the ball drop on blogging for the past few weeks, but have been thinking a lot about the issues. The Post Trade Forum debate on Are Clearing Houses Increasing Risk? will take place on Tuesday morning at the London Stock Exchange. I've just finished my key note presentation for the debate, and I'm afraid I come down on the side of incr...
15 April 2012 /regulation Post-Trade Forum
Throughout the years I have worked in credit and collections, either doing credit analysis related to commercial lending decisions or identifying the elements that should be weighed when reviewing trade credit lines. I have seen many different scoring models used for many different purposes including judgmental scoring models that focus on the use...
10 April 2012 /regulation Treasury Management
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