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Current RefinementsContent TypeNewsDate2012SectorRisk ManagementRemove all refinements DateJanuary (2)February (5)March (2)April (5)May (4)June (3)July (3)August (2)September (4)October (12)November (9)December (5)AuthorBBR Staff Writer (54)Barry Conchie (1)LocationAsia-Pacific (4)Europe (19)Middle East and Africa (3)North America (31)South and Central America (1)
Search Results: News > 2012 > Risk Management
1-15 of 56 results
SEC gives nod to new rules on lost holders of securities
By BBR Staff Writer
The US Securities and Exchange Commission (SEC) has approved new rules making it essential for broker-dealers to carry out searches for holders of securities with whom they have lost contact.
Risk Management > News
SEC sues Claymore Advisors and FAMCO for misguiding fund investors
By BBR Staff Writer
The US Securities and Exchange Commission (SEC) has charged two investment advisory firms and two portfolio managers, for failing to adequately inform investors about the fund’s risky derivative strategies, which caused it to collapse during the financial crisis.
Risk Management > News
SEC charges Warner Technology consultant for violating US securities laws
By BBR Staff Writer
The US Securities and Exchange Commission (SEC) has sued a New Jersey-based Huakang 'David' Zhou and his consulting firm Warner Technology and Investment for violating securities laws.
Risk Management > News
FSA proposes new rules and regulations for Libor
By BBR Staff Writer
The UK Financial Services Authority (FSA) has proposed new rules and regulations for London Interbank Offered Rate (LIBOR), following recommendations of the Wheatley Review of Libor interbank lending rates.
Risk Management > News
AFP Habitat to deploy Princeton Financial’s MIG21 for investment compliance
By BBR Staff Writer
Chile based private pension system Administradora de Fondos de Pensiones (AFP) Habitat has chosen Princeton Financial Systems’ MIG21 compliance platform, to meet investment regulatory requirements in accordance with the country’s Pension Supervisor regulations.
Risk Management > News
US FINRA signs MoU with Japan Securities Dealers Association
By BBR Staff Writer
The US Financial Industry Regulatory Authority (FINRA) and Japan Securities Dealers Association (JSDA) have inked a memorandum of understanding (MoU), to facilitate increased mutual cooperation between the regulators.
Risk Management > News
AlphaMetrix to deliver data aggregation services for NFA and CME Group
By BBR Staff Writer
Self-regulatory organizations for US futures industry National Futures Association (NFA) and CME Group have selected AlphaMetrix360 to deliver electronic data aggregation services.
Risk Management > News
European banks appeal to postpone Basel III rules by one-year
By BBR Staff Writer
European banks have urged the European Commission (EU) to delay the implementation and application of Basel III, the global banking capital rules, by a year to 2014.
Risk Management > News
Smythe House receives UK FSA authorization
By BBR Staff Writer
Specialist investment adviser Smythe House has announced receipt of authorization from the UK Financial Services Authority (FSA), which will provide confidence to its clients of the quality of operations and commitment to on-going service.
Risk Management > News
Raiyun to provide new risk management service to Chinese financial institutions
By BBR Staff Writer
Raiyun Information Technology has selected FINCAD’s F3 analytics to provide a new risk management service to banks, hedge funds, securities and insurance companies in the Chinese market.
Risk Management > News
FSA penalizes Savoy over wealth management failings
By BBR Staff Writer
Savoy Investment Management (Savoy) has been imposed a fine of £412,000 by the UK Financial Services Authority (FSA) over failure to ensure investment portfolios suitability of its wealth management clients.
Risk Management > News
SEC sues investment adviser over hiding losses from mortgage-backed securities
By BBR Staff Writer
US Securities and Exchange Commission (SEC) has sued Walter Morales and his firm Commonwealth Advisors for duping investors by concealing millions of dollars in losses suffered during the financial crisis from investments tied to residential mortgage-backed securities (RMBS).
Risk Management > News
NAB to settle sub-prime mortgage case for A$115m
By BBR Staff Writer
National Australia Bank (NAB) is to pay a total of A$115m ($119.7m) to settle a class action case pertaining to the heavy losses sustained due to toxic subprime home loans in the US.
Risk Management > News
CFTC sues ex-Goldman trader over $118m loss in e-mini futures contracts
By BBR Staff Writer
The US Commodity Futures Trading Commission (CFTC) has filed an enforcement action against ex-Goldman trader Matthew Marshall Taylor with fraud for fabricating and concealing trades from his employer, a futures commission merchant (FCM).
Risk Management > News
Guernsey based companies set up new Princeps joint venture
By BBR Staff Writer
Guernsey based independent company Marlborough Trust; The Robus Group, a provider of insurance management & corporate services and Richard Gale, an independent consultant have formed a new joint venture (JV), Princeps.
Risk Management > News

BBR White Paper Recommendations

Revenue Leakage – Opportunity Calling! By Suntec
Revenue Leakage has been a universal phenomenon, gnawing up the profit margins of transaction-based industries, especially across their business support systems. Though the Banking industry people are particularly quick in acknowledging the glaring prevalence of revenue leakage, they are not able to pinpoint its source or quantity, or chart methodologies to ensure Revenue Assurance.... Banking Services > Commercial Banking > White Papers Customer Profitability Vs. Customer Satisfaction: Keep Guessing or Model your Pricing Strategies By Suntec
Most financial institutions do not have a clear understanding of what or who drives their profitability. They make assumptions or guesswork, and most of the time, try and fix their profitability metrics into the 80/20 rule or something similar — the majority of profits (80%) come from a minority (20%) of customers, products or business segments. Is profitability as simple as this? While there is no denying the 80/20 rule, how does an organization find this 20%? ... Banking Services > Commercial Banking > White Papers Banks - Reward Your Customers Incrementally, Based on Their Profitability By Suntec
Financial Institutions (FI) are on the verge of a strategic make-over. The market conditions imply an increased need to generate revenues and customer profitability, to ensure sustainability and future business success. In order to achieve these objectives, the FIs need to devise strategies that leverage customer relationships in a way that has never been done before. ... Banking Services > Commercial Banking > White Papers Achieving Measurable Gains by Automating Claims Processing By Kofax
Moving to a fully automated process is a goal for claims processing of nearly all insurance executives. Companies are at various levels of automation and often do not have an appropriate strategy to achieve higher levels of automation. This white paper identifies seven levels of claims automation and provides a roadmap that can be followed to enhance claims processing. This straightforward approach can be used to increase the likelihood of successful automation. Download this free white paper from Kofax to find out more.... White Papers Customer Centricity: The Key to Success in Retail Banking By Kofax
The economic slowdown has forced many banks to redirect their focus to retail banking and reinvent themselves as customer-centric organizations. But many institutions still use legacy infrastructures and processes that hinder necessary readjustments, in particular with regard to information exchange and customer communication. This white paper explains how these difficulties can be overcome, and how banks and financial institutions can reengineer core IT and business processes to support their business objectives. Download this free white paper from Kofax to find out more.... White Papers See more
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