These guides are part of a series of updated Sound Practice Guidance (SPG’s) documents for risk managers, designed to...
Archive for category: German Chapter
Promoting and Developing the Discipline of Operational Risk Management
These guides are part of a series of updated Sound Practice Guidance (SPG’s) documents for risk managers, designed to...
Der Chief Risk Officer – Gewinnung von Risiko-Führungskräften – ein Praxisleitfaden
Lee Evans, , German Chapter, 0Das Vorwort Eine effektive Führungsebene ist ein wesentlicher Bestandteil einer gesunden Risikokultur. Die Anwendung allgemeiner Regeln der Unternehmensführung hat...
Yesterday we successfully ran our 16th OpRisk Quant & Research Workshop with more than 30 participants (Banks, Insurance Companies,...
New Generation Operational Risk: Europe
Zaq Mughal, , Dutch Chapter, England and Wales Chapter, German Chapter, IOR News, Irish Chapter, Scottish Chapter, 0We are pleased to announce that we will be supporting the 3rd Annual New Generation Operational Risk: Europe Summit....
Details of the 12th IOR Operational Risk Quant Workshop event are now available
Zaq Mughal, , German Chapter, IOR News, 0Details of the German Chapter event ’12th IOR Operational Risk Quant Workshop’ are now available to view here.
Finextra Research Headlines
- SEC doles out more messaging violation fines September 29, 2023The Securities and Exchange Commission today announced charges against five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment advisers for widespread and longstanding failures to maintain and preserve electronic communications.
- FCA calls for era of “new enlightenment” for financial inclusion September 29, 2023At the Scottish Financial Enterprise: Extending Financial Inclusion event in Glasgow this afternoon, CEO of the Financial Conduct Authority (FCA) Nikhil Rathi delivered a speech on how the regulator plans to implement policies to include the financially excluded in the current cost of living crisis, calling it “a new enlightenment” for financial inclusion.
- WFE's regulatory affairs head on the risks of unregulated crypto-trading platforms September 29, 2023“Using the term exchange can be misleading if you’re not doing these things,” said Richard Metcalfe, head of regulatory affairs at the World Federation of Exchanges (WFE) when speaking to Finextra after laying out their six recommendations for regulators and crypto trading platforms.
- Zumo first to conform to FCA’s tech-based crypto promotion rules September 29, 2023Zumo has become the first digital asset platform to integrate tech-based requirements of the Financial Conduct Authority’s (FCA’s) new financial promotions regime for cryptoasset firms.
- Collaboration to Overcome Fragmentation September 29, 2023At Sibos 2023, Stephen Grainger, Chief Executive, Americas & U.K. Region, Swift, discusses how collaborating on standardization, interoperability, and cross-border payments are pushing the financial community to evolve.