September 25, 2014 - The US Financial Services Information Sharing and Analysis Center (FS-ISAC) and the Depository Trust and Clearing Company (DTCC) have developed a centalised utility for financial firms to post and share information related to cyber-attacks and security threats.
September 24, 2014 - SIX Exchange Regulation, which is charged by SIX Swiss Exchange Ltd with the monitoring and enforcement of issuer obligations, has by means of a sanction notice imposed a fine of CHF 10'000 on Credit Suisse Funds AG, Zurich, for breaching the rules governing the regular reporting obligations. In January 2014, Credit Suisse Funds AG sent a notification regarding a distribution relating to certain Exchange Traded Funds (ETFS) too late.
September 24, 2014 - The Securities and Exchange Commission today charged Barclays Capital Inc. with failing to maintain an adequate internal compliance system to ensure the firm did not run afoul of any federal securities laws after its wealth management business in the U.S. acquired the advisory business of Lehman Brothers in September 2008.
September 23, 2014 - The British Banking Association is working with BAE Systems Applied Intelligence to develop a financial crime alert system that will see 12 government and law enforcement agencies warn banks of the latest threats to their integrity.
September 23, 2014 - To help executives understand IT-related risk, IT risk managers should develop and test risk scenarios. A new guide and tool kit from global IT association ISACA provide 60 risk scenario examples covering 20 categories of risk that organizations can customize for their own use.
September 22, 2014 - The next generation of tech-savvy entrepreneurs and business leaders is transforming the global payments market according to a new report, Global Payments 2020: Transformation and Convergence, from BNY Mellon, a global leader in investment management and investment services.
September 22, 2014 - Wolters Kluwer Audit, Risk & Compliance announced today the integration of a comprehensive data analysis tool set within the industry-leading TeamMate Audit Management System.
September 22, 2014 - EU supervisory authorities are warning banks to reinforce IT controls and audits on third-party technology providers and to ringfence budgets related to operational risk.
