INSIGHT

ARCHIVE

2013

  • Share

    23 December 2013

    Getting tougher at the top?

    2013 comes to a close in the UK with two significant developments which demonstrate that regulators and lawmakers have their sights set firmly on senior bankers. First came the news that Standard Chartered had stripped its Finance Director of responsibility for risk, reportedly under instructions from the Prudential Regulation Authority (PRA). Next, the Banking Reform Act received Royal Assent on 18 December.....More

    Words by James Thomas

  • Share

    11 December 2013

    The big issue

    At this time of the year, there are only two questions that really matter: (i) what's the largest Christmas tree I can fit into my house without it constituting a health and safety issue? and (ii) what's the biggest turkey five adults and three children can safely consume in one sitting?....More

    Words by James Thomas

  • Share

    2 December 2013

    5 top tips on how to approach your ICA exam

    The way you approach an exam can have a massive impact on the outcome. Subject matter knowledge is crucial but this is only half the battle. You’ve studied the course for months, digested the wider reading and put the effort into completing the assignments. Now you want to pass with the highest score you can, achieve the certification and put all you have learned into practice. Here are five tips that will help you achieve your goal.....More

    Words by Dave Robson

  • Share

    1 November 2013

    The value of compliance qualifications

    If you are reading this as the holder of a compliance qualification then "congratulations!" You are, according to recent PwC research, hot property. PwC found that a staggering 100% of heads of compliance at UK asset management firms believe that there is currently a shortage of appropriately qualified compliance professionals in the market, and most expect this trend to persist for the next 2 to 3 years.....More

    Words by James Thomas

  • Share

    22 October 2013

    Stick, twist or fold? How best to manage emerging trends and best practice in money laundering and terrorist financing

    I was delighted to represent the International Compliance Association at the Compliance Officer conference in Warsaw recently which focussed on the subject of new payment technologies and emerging money laundering and terrorist financing risk management.....More

    Words by Lee Byrne

  • Share

    8 October 2013

    Restoring trust: the long game

    It would be an understatement to say that the financial sector has an image problem. Scarcely a day passes without the emergence of some new financial debacle or the imposition of some new high profile regulatory sanction.....More

    Words by James Thomas

  • Share

    11 September 2013

    Top 5 common mistakes made in ICA exams

    Last November I wrote a popular blog on Top 5 tips for ICA exams so I thought it would be worth following this up with some more useful guidance.....More

    Words by Dave Robson

  • Share

    20 August 2013

    Social media, independent thought and organizational culture

    Have social media changed the way we think and work and has this had (positive or negative) consequences for organizational culture?....More

    Words by James Thomas

  • Share

    1 July 2013

    Responsibility and accountability... more than words

    The Parliamentary Commission on Banking Standards was set up to look into professional standards and culture within the UK banking sector. Its recent report – "Changing Banking for Good" – puts forward several recommendations.....More

    Words by James Thomas

  • Share

    17 June 2013

    Compliance, parenting and playtime

    When I’m not editing inCOMPLIANCE (ICA's quarterly journal for members) I spend a fair amount of my spare time watching small children terrorize each other in playgrounds, not because I particularly enjoy doing so, but because as the father of a three-year-old it comes with the territory.....More

    Words by James Thomas

  • Share

    12 June 2013

    The only way is ethics

    Having had the privilege of attending the AMLP Forum on Anti-Bribery and Corruption in London last week, ethics (as well as collaborative action) was a key message.....More

    Words by Anthony Beckett

  • Share

    22 May 2013

    A Day in the Life of a Compliance Officer

    Anyone who works in financial services compliance will support me when I say that no two days are the same. The role is diverse, interesting and challenging and should easily tap into your skill set quickly and increase your knowledge day by day.....More

    Words by Morven Grierson

  • Share

    9 May 2013

    5 reasons why your employer should sponsor you to do an ICA qualification

    We all know that training budgets aren’t what they used to be and sometimes it can be quite a difficult process persuading your employer to fund your course.....More

  • Share

    2 May 2013

    An introduction to Financial Crime

    Financial Crime has recently emerged as a hot topic of late and I feel it is something that should be brought to the general public’s attention. Here in Singapore we are launching, for the first time in the region, the ICA Financial Crime qualifications, giving us a great platform to start looking at this area in a little more detail.....More

    Words by Dione Schick

  • Share

    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

  • Share

    12 March 2013

    The Asian rate fixing scandal: continuing lessons for organisational culture

    We’ve been covering the topic of “culture” extensively within inCOMPLIANCE. And with good reason – cultural change at banks is increasingly being acknowledged as a board-level strategic challenge, and one which the compliance community can make a positive contribution towards.....More

    Words by James Thomas

  • Share

    5 March 2013

    Win a free place at ICA's Annual Conference 'Benchmarking Compliance - Preparing for the Road Ahead’, 27 March 2013, London

    What do you think the future holds for compliance? How much of a threat is social media to your firm? How difficult is it to lead a culture of integrity?....More

  • Share

    4 February 2013

    Executive remuneration and cultural change: the long haul

    Bonus season is guaranteed to provide some talking points, and this year is no different.For many within the City, the award of massive payouts for those at the helm of major financial institutions is simply the cost of employing such “talent”; a relatively small price to pay given the massive demands of the job.....More

    Words by James Thomas

  • Share

    25 January 2013

    FCPA Guidance: Emerging Benchmarks for an Effective Anti-Corruption Compliance Program?

    Over recent years, we have all been witness to the US Department of Justice ("DOJ") and the Securities and Exchange Commission ("SEC") aggressively pursuing enforcement action against businesses and individuals under the Foreign Corrupt Practices Act ("FCPA").....More

    Words by Mushtaq Dost

  • Share

    17 January 2013

    Countering the threat of cybercrime (1)

    Can traditional risk management frameworks protect a firm from the ever increasing cyber threat? What role do financial crime systems and controls, requirements, business continuity, data loss prevention and traditional fraud prevention techniques play in the defence against sophisticated and targeted cyber attacks?....More

    Words by Andy Caines

  • Share

    3 January 2013

    What does 2013 hold for the big banks?

    2012 ended with a bang... but not in a good way. Coming just weeks after the conclusion of the Adoboli case, the UBS fine for LIBOR-rigging thrust the issue of culture in banking back onto the front pages.....More

    Words by James Thomas

LOAD MORE

© International Compliance Association I Company registration 4429302 I Registered office 5th Floor, 10 Whitechapel High Street, London, E1 8QS, United Kingdom