Operational Risk

What keeps Luxembourg up at night?

Operational Risk
02 Aug, 2016

With the current volatility in the markets you would expect that fund managers have enough to concern them without considering the risks associated with the safekeeping of their funds’ assets.

Getting your cyber house in order

The issue of cybersecurity, and the rising, fast-evolving threat of cyber attacks, is high on the agenda for many private equity and real estate managers.

Posted on: 20 Jun, 2016

Working with the Bank of England's senior managers regime

As of March, the new Senior Managers Regime (SMR), designed to improve individual accountability in the banking and finance sector, is in full effect within the UK.

Posted on: 31 May, 2016

The impact of regulation upon asset managers and investors

We spoke to Robert Goldbaum, SVP product & market strategy at Backstop Solutions about how regulation

Posted on: 29 Apr, 2016

The impact of recent regulations on the post-trade landscape

On Tuesday 01 March, Thomas Murray hosted a half day event in London entitled Post-Trade Risk Roundtable. The event sought to explore the regulatory hurdles being faced by those involved with the funds industry, and how firms can prepare to clear these challenges in their post-trade networks.
Posted on: 04 Mar, 2016

FCA publishes hedge fund survey

Concentration risk at UK hedge funds remains high with the 10 largest firms controlling 38 per-cent of Assets under Management (AuM), according to the latest Hedge Fund Survey conducted by the UK’s Financial Conduct Authority (FCA). 

Posted on: 02 Jun, 2015
Posted in: Operational Risk

European regulators advise CCPs to review their TLAC processes

The European Commission and other global regulators are assessing the options by which to deal with the failure of a central counterparty clearing house (CCP).

Posted on: 04 Dec, 2014
Posted in: Operational Risk

Fund managers urged to have responses to regulatory enforcement actions in place

Private funds should have a strategic response plan in place to deal with any potential regulatory enforcement action, according to Cordium, a compliance consultancy

Posted on: 27 Oct, 2014
Posted in: Operational Risk

Collateral squeeze unlikely to materialise

The so-called collateral shortfall is unlikely to be as severe as some market participants initially believed although obtaining high-grade eligible collateral to post as initial and variation margin to central counterparty clearing houses (CCPs)

Posted on: 06 Oct, 2014
Posted in: Operational Risk

Asset managers warned on sanctions compliance

Asset managers must ensure they have a solid grasp of the evolving nature of sanctions in light of events unfolding in Russia.

Posted on: 05 Aug, 2014
Posted in: Operational Risk

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