http://compliancecircle.wordpress.com Blunt view and news round up, on the current state of world economics and compliance in financial services. Thu, 27 Sep 2012 10:57:58 +0000 en hourly 1 http://wordpress.com/ http://1.gravatar.com/blavatar/5805e6a7f427fcf83a52de3edbec69e7?s=96&d=http%3A%2F%2Fs2.wp.com%2Fi%2Fbuttonw-com.png http://compliancecircle.wordpress.com http://compliancecircle.wordpress.com/2012/09/27/libor-spurned-credit-scores-german-audit-compliance-businessweek/ http://compliancecircle.wordpress.com/2012/09/27/libor-spurned-credit-scores-german-audit-compliance-businessweek/#comments Thu, 27 Sep 2012 10:57:54 +0000 Edwin http://compliancecircle.wordpress.com/?p=611 ]]> Libor Spurned, Credit Scores, German Audit: Compliance – Businessweek.

Filed under: compliance ]]> http://compliancecircle.wordpress.com/2012/09/27/libor-spurned-credit-scores-german-audit-compliance-businessweek/feed/ 0 eetadafe86 http://compliancecircle.wordpress.com/2012/09/27/fsa-does-not-have-remit-to-interfere-on-charges-ima-ftadviser-com/ http://compliancecircle.wordpress.com/2012/09/27/fsa-does-not-have-remit-to-interfere-on-charges-ima-ftadviser-com/#comments Thu, 27 Sep 2012 10:57:14 +0000 Edwin http://compliancecircle.wordpress.com/?p=612 ]]> FSA does not have remit to interfere on charges: IMA – FTAdviser.com.

Filed under: Banking, compliance Tagged: Anti-moneylaundering, banking, compliance, Compliance Circle, Edwin Etadafe, Financial services, FSA, MIFID ]]> http://compliancecircle.wordpress.com/2012/09/27/fsa-does-not-have-remit-to-interfere-on-charges-ima-ftadviser-com/feed/ 0 eetadafe86 http://compliancecircle.wordpress.com/2012/09/20/fsa-hits-hbos-exec-with-500000-fine-ftadviser-com/ http://compliancecircle.wordpress.com/2012/09/20/fsa-hits-hbos-exec-with-500000-fine-ftadviser-com/#comments Thu, 20 Sep 2012 09:30:05 +0000 Edwin http://compliancecircle.wordpress.com/?p=607 ]]> FSA hits HBoS exec with £500,000 fine – FTAdviser.com.

Filed under: Banking, compliance Tagged: banking, Compliance Circle, Fraud, FSA, MIFID ]]> http://compliancecircle.wordpress.com/2012/09/20/fsa-hits-hbos-exec-with-500000-fine-ftadviser-com/feed/ 0 eetadafe86 http://compliancecircle.wordpress.com/2012/09/18/nyse-euronext-fine-automated-systems-cyprus-compliance-bloomberg/ http://compliancecircle.wordpress.com/2012/09/18/nyse-euronext-fine-automated-systems-cyprus-compliance-bloomberg/#comments Tue, 18 Sep 2012 08:34:45 +0000 Edwin http://compliancecircle.wordpress.com/?p=604 ]]> NYSE Euronext Fine, Automated Systems, Cyprus: Compliance – Bloomberg.

Filed under: compliance ]]> http://compliancecircle.wordpress.com/2012/09/18/nyse-euronext-fine-automated-systems-cyprus-compliance-bloomberg/feed/ 0 eetadafe86 http://compliancecircle.wordpress.com/2012/09/18/fsas-500000-fine-for-peter-cummings-only-part-of-the-story-of-a-scandal-features-scotsman-com/ http://compliancecircle.wordpress.com/2012/09/18/fsas-500000-fine-for-peter-cummings-only-part-of-the-story-of-a-scandal-features-scotsman-com/#comments Tue, 18 Sep 2012 08:34:30 +0000 Edwin http://compliancecircle.wordpress.com/?p=602 ]]> FSA’s £500,000 fine for Peter Cummings, only part of the story of a scandal – Features – Scotsman.com.

Filed under: compliance ]]> http://compliancecircle.wordpress.com/2012/09/18/fsas-500000-fine-for-peter-cummings-only-part-of-the-story-of-a-scandal-features-scotsman-com/feed/ 0 eetadafe86 http://compliancecircle.wordpress.com/2012/09/11/fsa-reports-6-2-fall-in-advisers-pre-rdr-ftadviser-com/ http://compliancecircle.wordpress.com/2012/09/11/fsa-reports-6-2-fall-in-advisers-pre-rdr-ftadviser-com/#comments Tue, 11 Sep 2012 10:40:55 +0000 Edwin http://compliancecircle.wordpress.com/?p=590 ]]> FSA reports 6.2% fall in advisers pre-RDR – FTAdviser.com.

Filed under: Banking, compliance ]]> http://compliancecircle.wordpress.com/2012/09/11/fsa-reports-6-2-fall-in-advisers-pre-rdr-ftadviser-com/feed/ 0 eetadafe86 http://compliancecircle.wordpress.com/2012/09/10/mifid-2-council-of-the-european-union-publishes-latest-compromise-text/ http://compliancecircle.wordpress.com/2012/09/10/mifid-2-council-of-the-european-union-publishes-latest-compromise-text/#comments Mon, 10 Sep 2012 13:30:48 +0000 Edwin http://compliancecircle.wordpress.com/?p=585 ]]> MiFID 2: Council of the European Union publishes latest compromise text.

Filed under: compliance ]]> http://compliancecircle.wordpress.com/2012/09/10/mifid-2-council-of-the-european-union-publishes-latest-compromise-text/feed/ 0 eetadafe86 http://compliancecircle.wordpress.com/2012/09/10/risk-management-time-to-fight-fraud-from-the-inside-mortgage-finance-gazette-online/ http://compliancecircle.wordpress.com/2012/09/10/risk-management-time-to-fight-fraud-from-the-inside-mortgage-finance-gazette-online/#comments Mon, 10 Sep 2012 13:29:54 +0000 Edwin http://compliancecircle.wordpress.com/?p=582 ]]> Risk management – time to fight fraud from the inside? — Mortgage Finance Gazette Online.

Filed under: compliance ]]> http://compliancecircle.wordpress.com/2012/09/10/risk-management-time-to-fight-fraud-from-the-inside-mortgage-finance-gazette-online/feed/ 0 eetadafe86 http://compliancecircle.wordpress.com/2012/09/07/lloyds-incentive-probe-bankers-board-vote-compliance-businessweek/ http://compliancecircle.wordpress.com/2012/09/07/lloyds-incentive-probe-bankers-board-vote-compliance-businessweek/#comments Fri, 07 Sep 2012 13:42:12 +0000 Edwin http://compliancecircle.wordpress.com/?p=580 ]]> Lloyds ‘Incentive’ Probe, Bankers’ Board Vote: Compliance – Businessweek.

Filed under: compliance ]]> http://compliancecircle.wordpress.com/2012/09/07/lloyds-incentive-probe-bankers-board-vote-compliance-businessweek/feed/ 0 eetadafe86 http://compliancecircle.wordpress.com/2012/09/05/uks-fsa-wants-banks-to-detail-it-backup-plans-ft-reuters/ http://compliancecircle.wordpress.com/2012/09/05/uks-fsa-wants-banks-to-detail-it-backup-plans-ft-reuters/#comments Wed, 05 Sep 2012 15:40:47 +0000 Edwin http://compliancecircle.wordpress.com/?p=577 ]]> UK's FSA wants banks to detail IT backup plans: FT | Reuters.

Filed under: Banking, compliance ]]> http://compliancecircle.wordpress.com/2012/09/05/uks-fsa-wants-banks-to-detail-it-backup-plans-ft-reuters/feed/ 0 eetadafe86