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Issue #32

Issue #32Editor's Letter - Not Worth the Risk: The risk of sanctions non-compliance has firms exiting certain businesses altogether.
 
News: Regulatory burden hits HSBC profits; FiNCEN seeks “culture of compliance”; Barclays defends new complaint; Standard Chartered expects further regulatory action; New APRA supervisory framework released; The cost of making bankers accountable; UK to criminalise energy market abuse; FCA enforcement actions annual report
 
Connecting Responsibility, Ethics, Conduct and Strategy: Professor Kalu Ojah explores Corporate Social Responsibility in the lives of financial services firms.
 
Managing People Risk Through Corporate Risk Culture: As regulators increasingly focus on the conduct of firms and individuals, Alan Dunk considers what firms might be doing to encourage the right behaviour and to discourage bad behaviour.
 
Spotlight - The Dark Web: Following a recent BBC News story about components of the dark web itself being hacked, RiskBusiness’ Mike Finlay investigated the implications of the dark web from a risk management perspective.
 
How To... Improve Sanctions Compliance: This article sets out the key issues that all compliance personnel need to be familiar with and ensure are being addressed as well as some tips for improving sanctions compliance programme efficiencies.
 
Sharing Scenarios - Business Disruption due to a Pandemic: This month, due to the severity and rapid spread of the Ebola outbreak across Western Africa, the scenario addresses the potential implications for a firm whose business activity is disrupted by such a pandemic.
 
Dear CEO: Every month an anonymous chief risk officer of a financial services firm writes a letter to his CEO detailing some of the issues he has always wanted to raise.
 
Risk Classifications - Sanctions or Embargo Breaches: RiskBusiness’ Mike Finlay takes a look at firms that deliberately or inadvertently breach rules around business dealings with restricted nations, countries, organisations or individuals.
 
Classified: Find all your job advertisements here alongside information on upcoming industry events and The Risk Universe monthly comic.