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Tag Archives: Operational Risk
The SEC’s Bipolar Approach to Credit Rating Agencies
Guest Contributor: John Jay, Senior Analyst, Aite Group The Securities and Exchange Commission (SEC) is coming to the rescue of the investment community; it is considering leveling civil fraud charges against credit rating agencies (CRAs) — in particular Standard & Poor’s … Continue reading
Posted in Guest Blog, Operational Risk, Regulation
Tagged Guest Blog, Operational Risk, Regulation
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Good Risk Management = Good Business Management
Guest Contributor: Todd Cooper, Vice President and General Manager of Enterprise Risk Compliance, Wolters Kluwer Financial Services The financial services industry is definitely at a crossroads when it comes to compliance and risk management. One road leads to growth, but … Continue reading
Posted in Compliance, Guest Blog, Operational Risk
Tagged Compliance, Guest Blog, Operational Risk
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Attention Vendors: Clients Need New Ways to Manage Risk
Quantifi recently released survey results concerning how financial firms plan on implementing new solutions in order to manage and measure their counterparty risk. According to the survey results, 100 percent of respondents either have already or plan on implementing major … Continue reading
Dodd-Frank IT Implications for Investment Firms: Disaster Recovery, Archiving
Guest Contributor: Mary Beth Hamilton, Director of Marketing, Eze Castle Integration At 800+ pages, the Dodd-Frank Wall Street Reform and Consumer Protection Act is far reaching and requires a serious time commitment to comb through. As the deadline approaches, investment … Continue reading
Is Data More Valuable than Assets?
When someone hears the term “cyber crime” they will usually think of their personal information being stolen, for instance when someone steals your credit card information and goes on a shopping spree. However, cyber crime no longer strictly applies to … Continue reading
A Look Into the 5th Annual OpRisk Conference
For all of those who attended yesterday’s 5th Annual OpRisk Conference we would like to thank you for making it such a great event! Also, we would like to send a special thank you to all the knowledgeable speakers and … Continue reading
Automating Governance, Risk & Compliance
This week I came across an article in Wall Street & Technology that discussed GRC and the need for firms to implement technology in efforts to increase their automation and increase their control over risk and compliance. With GRC being … Continue reading
Posted in Compliance, Financial Technology, Operational Risk
Tagged Compliance, Financial Technology, Operational Risk
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Inside an Investor’s Portfolio: How Much Do They Know?
Risk management has become extremely important in the past year or two. The risk management teams at many firms have begun to reassess their roles and the way they manage risk in order to prevent past mistakes from being repeated. … Continue reading
How Much is Too Much? – Measuring Your Firm’s Risk Appetite
The Senior Supervisors Group (SSG) has recently published a report that assesses the progress financial institutions have made in developing and building infrastructures to measure their risk appetite. This report is a follow up to their 2008 report which identified … Continue reading
Reputational Risk: Don’t Pull a Tiger Woods
In the past year, it has become blaringly obvious how important a company’s reputation is to their bottom line. With situations like the BP oil spill, Toyota’s incident with faulty brakes and the whole Tiger Woods scandal, we have seen … Continue reading
