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    27 February 2015

    RBS - What the annual results tell us

    As a neat follow up to Dave Robson’s blog earlier this week (view here), which provided a succinct analysis on two key areas of the HSBC annual report, risk and legal proceedings, here’s my take on the RBS 2014 results released yesterday. Bearing in mind you and I (the UK taxpayer) own almost four-fifths of RBS; it’s an opportune time to find out how they are performing, particularly around risk.....More

    Words by Jason Morris

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    20 November 2014

    Enforcement: Change the Record

    It’s the same old song. Not The Four Tops classic (although you’ll probably be humming the tune for the rest of the day now) but my feelings about an article I recently read that has resulted in a depressingly familiar stance by an international organisation.....More

    Words by Jason Morris

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    8 September 2014

    News from across the pond – update on the requirement for regulatory risk management and board training

    The Office of the Comptroller of the Currency (OCC), the primary regulatory agency for national banks and Federal savings associations in the US, has provided final guidance on higher standards for risk management in larger banks.....More

    Words by Lee Byrne

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    3 July 2014

    BNP Paribas: this time it's personal

    I wrote recently about the emerging phenomenon of guilty pleas in US regulatory enforcement cases, and their apparent lack of substance following the Credit Suisse plea. In the Credit Suisse case no individuals were punished, no licenses revoked, no activities suspended, and the bank itself confirmed that the impact of the guilty plea on business had been "very limited", leaving many to wonder whether the bank's plea served any purpose other than to add some window dressing to an admittedly large fine.....More

    Words by James Thomas

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    26 June 2014

    Exciting developments afoot for the ICA Diploma in Compliance

    The regulatory environment, and consequently the role of compliance, has changed significantly in recent years. There has always been significant overlap between regulatory compliance and risk management - the compliance function’s fundamental purpose after all, is to manage the firm’s regulatory risk. And more recently we have seen how a firm’s governance, culture and organisational behaviour are core to how all risk is managed within the firm.....More

    Words by Jonathan Bowdler

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    28 January 2014

    Regulatory reform: may the forth be with you...

    Last week an application was made to grant the Forth Bridge “UNESCO world heritage site” status. Of course, legend has it that no sooner is the bridge painted than the job of repainting it has to begin again... which seems a fitting theme as world leaders have been gathering in Davos to discuss, among other things, the seemingly unending task of regulatory reform.....More

    Words by James Thomas

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    3 April 2013

    A tale of two cultures: Ethics and Compliance

    Am I alone in being fed up with hearing the words `culture`, `tone at the top` after each headline associated with a new banking or corporate scandal? Have corporate environments really lost their moral compass?....More

    Words by Mushtaq Dost

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    16 February 2012

    A compliance practitioner's work is never done...

    When a compliance professional receives that notification in their inbox from either the FSA, OFT, ICO or other regulatory/oversight body; what do they do?....More


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