Factors to consider in compliance monitoring program
15 April, 2015
Using a tick-the-box approach for monitoring of conflicts of interests will probably lead to regulatory issues and reputational disasters. Wealth firms will need to have code of conduct and conflict of interests programmes adjusted so as to be appropriate for their business model. Conflicts of interests are everywhere. Firms in financial services, especially in wealth
- Published in Business Issues
Role of credit rating agencies
15 April, 2014
Credit rating agencies have been criticized for their role in the 2007 sub-prime crisis, which led to the global financial crisis, but it wasn’t until a recent lawsuit exposed their internal emails that it became clear to what extent they were responsible. While the global financial crisis can’t be blamed on any one in particular,
- Published in Business Issues, Economy & Markets