Governance

regulators
Culture & Conduct, News
June 11, 2024

Senior figures lambast regulators over poor culture and conduct in bruising report

Standard-setters’ feet held to the fire over misconduct, transparency and governance
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internal audit
Governance, Research
May 29, 2024

EU banks’ internal audit functions fall short, says ECB

European banks' internal audit function has escaped censure, until now
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Interest rate and liquidity risk management
Analysis, Governance
May 22, 2024

Poor governance seen as root behind interest rate and liquidity risk 

Balance sheet managers are ‘out of sight, out of mind’ for the board
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AI governance
Governance & Reporting, Opinion
May 21, 2024

AI governance frameworks need to be in place before an AI rollout 

Managing AI risk takes precedence over temptation to onboard the new technology
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FDIC harassment
Culture & Conduct, News
May 21, 2024

FDIC chair resigns after report slams 'misogynistic' culture at US regulator

Martin Gruenberg to step down from agency 'in light of recent events'.
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2LOD
Analysis, Governance
May 8, 2024

Power struggle at banks intensifies between 1LOD and 2LOD

The three lines of defence model faces scrutiny. What alternatives exist?
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sexual harassment
Analysis, Culture & Conduct
May 7, 2024

UK banks face new legal duty to combat sexual harassment from October

Legal rule necessitates proactive approach to tackle non-financial misconduct in the workplace
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Credit Suisse collapse
Governance, Opinion
May 2, 2024

Five actionable lessons for CROs from Credit Suisse collapse

New Swiss Federal Council report on banking stability reveals learnings for CROs
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trader profiling
Analysis, Culture & Conduct
April 16, 2024

Banks signal controversial shift towards trader profiling

Insiders say banks will use new profiling techniques to monitor individuals
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securities sanctions
Exclusive, Governance & Reporting
April 8, 2024

Securities sanctions surge 314% in two years 

Global co-ordination on sanctions sharpens clampdown on Russian securities
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Surveillance
Analysis, Culture & Conduct
March 19, 2024

Surveillance tightens amid banks’ concerns over culture and conduct

US regulators have fined JPMorgan $348m for lax surveillance 
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