Edition:
United States

Henry Engler

INTERVIEW-Novartis applies behavioral science to code of ethics, unearthing biases and compliance gaps

Nov 10 2020

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Despite JPMorgan’s record spoofing fine, deterrence questions remain

Oct 13 2020

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U.S. Federal Reserve caps dividend payments on largest banks amid uncertain economic outlook

Jul 01 2020

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U.S. social unrest presents opportunities for firms to enhance ESG credentials, bolster ties with other stakeholders

Jun 09 2020

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INTERVIEW: ING’s behavioural risk team seeks to uncover ‘invisible drivers’ of risky behaviour

Jan 13 2020

New York (Thomson Reuters Regulatory Intelligence) - Many large financial organizations continue to struggle with misconduct and efforts to improve their internal cultures. In a recent interview with Regulatory Intelligence, Mirea Raaijmakers, head of ING's Behavioural Risk Management (BRM) team, explained how her group attempts to uncover behavioural patterns within the institution that could potentially put the firm at risk. Before joining ING in 2017, Raaijmakers, a trained organizational psychologist, supervised behaviour and culture at the Dutch central bank (DNB) and is a thought leader in this area.

Climate, geopolitical and cyber risks challenge firms to navigate uncharted terrain

Nov 13 2019

NEW YORK(Thomson Reuters Regulatory Intelligence) - It’s not just about financial risk anymore. Geopolitical, cyber and more urgently, climate risk, have emerged as areas that banks and other firms need to get their heads around. This new reality is prompting innovative research and a quest for data and tools to monitor and measure such risks, a challenge that some U.S. regulators are now beginning to raise concerns over.

Volcker rule dissenters have common theme: big banks now have too much latitude

Sep 19 2019

NEW YORK(Thomson Reuters Regulatory Intelligence) - The few U.S. regulators who have voted in dissent against revising the Volcker rule are sending a common message that banks have taken over the driver’s seat in defining proprietary trading, an outcome that makes nearly impossible supervision and enforcement of the post-financial crisis rule aimed at limiting the risky activity.

Compliance warnings as a 'stress test' -- questions raised by the Epstein case

Aug 27 2019

NEW YORK(Thomson Reuters Regulatory Intelligence) - As much as the compliance function at many financial institutions now sits as an equal partner alongside the businesses units they work with, every now and then something comes along to make one wonder what is the actual status of compliance across the industry.

CFTC's Glencore investigation seen reflecting broader U.S. anti-corruption strategy

Jul 24 2019

NEW YORK(Thomson Reuters Regulatory Intelligence) - Foreign bribery cases in the U.S. have traditionally been led by the Justice Department, often in partnership with the Securities and Exchange Commission, which has civil-enfocement authority. But recent news that Glencore, one of the world’s largest commodity traders, is being investigated by the Commodity Futures Trading Commission for possible corrupt practices, opens a new enforcement front that commodity firms need to be wary of. Some argue the shift may reflect the Trump administration’s broader strategy in combating foreign corruption.

Blockchain: a work still very much in progress in the U.S. securities industry

Jun 13 2019

NEW YORK(Thomson Reuters Regulatory Intelligence) - While blockchain has made inroads in the financial world, when it comes to the U.S. securities market, much work remains to increase adoption, a recent conference sponsored by the Securities and Exchange Commission revealed.

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