Featured

Are CFTC and SEC requirements aligning for CCOs?

New CFTC guidance determines that Chief Compliance Officers will be required to report directly to a board director or senior officer.

Compliance

How transparency is driving Asian asset managers to technology

The need for improved transparency is pushing Asian asset managers to use more sophisticated technology than they’ve ever used before in the management of their portfolios and to boost the overall efficiency of their businesses.

Portfolio Management

Bridging the gaps in data lineage: FIGI and the future

Data management is evolving as a critical business function and properly identifying financial instruments is now a top priority for data and risk management professionals.

Data Management

7 tips for managing an IT outsourcing contract

IT organizations put great focus into drawing up their outsourcing contracts, but those agreements alone do not guarantee satisfactory outcomes.

Operational Risk

World’s biggest banks fined $321 billion since financial crisis

That tally is set to increase in the coming years as European and Asian regulators catch up with their more aggressive U.S. peers.

Compliance
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Data management just became a little harder

A recent New York cyber-security regulation requires a more rigorous use of encryption when transmitting sensitive data to regulators.

Data Management

Why current data governance programs are ineffective

It is now widely recognized that to have effective controls over enterprise wide data, financial institutions must first gain control of data governance.

Data Governance

Don’t take your foot off the gas: Dodd Frank may be under fire but compliance officers can’t let up

The financial industry may be starting to breathe easy at the thought that the new U.S. administration will chip away at Dodd Frank but this news provides no real relief for compliance professionals.

Compliance

Cyber-security re-defines business structure

After decades of outsourcing IT processes and staff, financial institutions will need to bring their information security responsibility back in-house.

Data and Tech Operations

Germany said to let banks fleeing Brexit keep risk models

Germany’s financial regulator offered to allow most banks that move operations there because of Brexit to keep current models for setting capital requirements for as long as two years.

Brexit