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

Alignment needed in firms' internal infrastructure to deal with regulatory reporting

It is essential managers align their internal infrastructure to ensure consistency across their regulatory reports in the US and EU.

Posted on: 20 Jun, 2014
Posted in: Operational Risk

Collateral shortage unlikely with clearing, says LSE/DTCC paper

A collateral shortage is unlikely to materialise although firms could struggle to obtain collateral, according to a study by the London School of Economics (LSE), in conjunction with the Depository Trust & Clearing Corporation (DTCC). 

Posted on: 18 Jun, 2014
Posted in: Operational Risk

Buy-side should adopt real-time compliance for employee use of chat-rooms

Fund managers have been advised to adopt real time compliance procedures when monitoring employee use of chat-rooms.

Posted on: 30 Apr, 2014
Posted in: Operational Risk

Cyber-threats are top risk for financial institutions, says DTCC survey

Cyber-security and the impact of new regulations present the biggest challenges for capital markets in 2014, although the likelihood of a systemic risk event occurring has reduced markedly, according to a

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

Family offices warned on operational due diligence shortcomings

Family offices and endowments, increasingly returning to direct hedge fund investing, need to make wholesale improvements to their operational due diligence processes.

Posted on: 07 Feb, 2014
Posted in: Operational Risk

SEC publishes due diligence Risk Alert

The Securities and Exchange Commission (SEC) has issued a Risk Alert urging investment advisers to bolster their due diligence processes on alternative investment vehicles.

Posted on: 29 Jan, 2014
Posted in: Operational Risk

Managed account platforms' marketing materials to face greater scrutiny

The marketing materials of managed account platforms will likely be subject to greater scrutiny amid concerns that some providers are inflating their Assets under Management (AuM) on their pools, it has been said.

Posted on: 26 Nov, 2013
Posted in: Operational Risk

'40 Act funds advised to tread cautiously with turnkey platforms

Hedge fund managers launching regulated products, such as ’40 Act funds, have been advised to tread carefully when using traditional turnkey platforms that offer outsourced back office and legal services.

Posted on: 20 Nov, 2013
Posted in: Operational Risk

Hedge funds warned on trade fails and mismatches in white paper

Hedge funds have been encouraged to automate their trading processes to mitigate the number of trade fails or mismatches during the settlement process, particularly once the EU’s Central Securities Depositary Regulation (CSDR) comes into effect on

Posted on: 12 Nov, 2013
Posted in: Operational Risk


Subscribe to Operational Risk