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13 June 2016

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Former equities trader sentenced for insider dealing to 2 years prison

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The FCA today published a statement regarding a former equities trader at Schroders Investment Management being sentenced for insider dealing. The trader, Damian Clarke, has been sentenced to two years imprisonment having pleaded guilty to nine counts of insider dealing. Between August 2000 and January 2013, Mr Clarke was employed initially as an assistant fund manager …

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The Gamification of Compliance Training and how it could actually be great fun – Interview with Steve Brett, co-founder of E3 Compliance Training

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Even when you have the right kind of culture in your firm and colleagues understand the importance of compliance, training is often considered boring and dull, a check-box exercise or a waste of precious time. However, training is a key aspect in a good compliance regime and should help protect a firm from harm in …

The Gamification of Compliance Training and how it could actually be great fun – Interview with Steve Brett, co-founder of E3 Compliance Training Read More »

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EBA publishes final draft technical standards on specialised lending exposures

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The European Banking Authority (EBA) published today its final draft Regulatory Technical Standards (RTS) specifying how institutions should take into account and treat several factors when assigning risk weights to specialised lending exposures. The purpose of these RTS is to harmonise the assignment of risk weights to specialised lending exposures for institutions that apply the …

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