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Searching Content indexed under Financial Services by Hannah Rossiter ordered by Published Date Descending.
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Regulatory Watch – Asset Management Q2 2019
In this edition of Regulatory Watch, the experts in Duff & Phelps' Paris Compliance and Regulatory Consulting team.
Worldwide
5 Aug 2019
2
Whistleblowing: More Than A Shrill Noise
With the right resources, structure, and training, whistleblowing programs can become valuable tools for strengthening a firm's controls, culture, and reputation.
Worldwide
18 Jun 2019
3
Jurisdictional Enforcement Trends
Any discussion of the regulatory landscape across the globe is complicated by the dominance of U.S. regulators in the statistics.
Worldwide
5 Nov 2018
4
The Future In Focus
The wheels of justice turn slowly, but grind exceedingly fine, goes the old saying.
Worldwide
1 Nov 2018
5
Spotlight On Sectors
Big banks are still attracting the largest fines from financial regulators. Similar to previous years, investment banking globally was the recipient of the lion's share of penalty amounts handed out in 2017, with fines totaling US$20.6 billion.
UK
31 Oct 2018
6
Regulatory Enforcement Priorities
The end of the big benchmark manipulation cases, which were somewhat thrust upon regulators, and the freeing up of enforcement resources has allowed regulators to pursue more of their own priorities ...
UK
31 Oct 2018
7
A Quiet Revolution
In this respect, the spot inspections are similar to the thematic reviews of the FCA in the UK.
France
30 Oct 2018
8
Trends In Penalty Amounts
Globally, fine amounts have edged up following a massive fall from the peak of the big benchmark manipulation cases in 2013 and 2014. This in large is dominated by U.S. enforcement actions.
Worldwide
30 Oct 2018
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