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Ethical Standards Financial Services Industry

Reveal

A Comprehensive Guide to Enterprise Governance, Risk and Compliance (EGRC)

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Running a corporation comes with certain risks, as all corporate leaders know. But running a corporation without regard for proper governance, risk management, and compliance measures is a much, much riskier—and...more

White & Case LLP

Repos in Islamic Finance

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1. Why Repos are important for the Islamic finance industry - Islamic finance is a full-fledged financial system, including well-established banking, capital markets, money markets and insurance products and practices....more

White & Case LLP

Artificial Intelligence: UK Regulators' and Supervisors' growing expectations of Boards and Senior Managers of regulated entities

White & Case LLP on

On 1 August 2019, the UK FCA published an article titled "Artificial Intelligence (AI) in the Boardroom" in its Insight series of opinion and analysis. Its author, Magnus Falk, a senior technology adviser at the FCA who used...more

Moore & Van Allen PLLC

OCC Releases Bulletin on Fraud Risk Management Principles

In the aftermath of sales practices, the Office of the Comptroller of the Currency (OCC) recently published a bulletin on fraud risk management principles that are applicable to all federally chartered financial institutions....more

Faegre Drinker Biddle & Reath LLP

Recent State Fiduciary Duty Developments: Updates from Massachusetts, New Jersey, Illinois and the CFP Board.

The issue of “best interest” continues to be a hot topic in the states and trade groups, though one state has fallen out of the running…at least for now. The State of Massachusetts has two pending initiatives. The first is...more

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