<?xml version="1.0" encoding="UTF-8"?>
<?xml-stylesheet type="text/xsl" media="screen" href="/~d/styles/rss2full.xsl"?><?xml-stylesheet type="text/css" media="screen" href="http://feeds.reuters.com/~d/styles/itemcontent.css"?><rss xmlns:content="http://purl.org/rss/1.0/modules/content/" xmlns:wfw="http://wellformedweb.org/CommentAPI/" xmlns:dc="http://purl.org/dc/elements/1.1/" xmlns:atom="http://www.w3.org/2005/Atom" xmlns:sy="http://purl.org/rss/1.0/modules/syndication/" xmlns:slash="http://purl.org/rss/1.0/modules/slash/" xmlns:media="http://search.yahoo.com/mrss/" version="2.0">

<channel>
	<title>Financial Regulatory Forum</title>
	
	<link>http://blogs.reuters.com/financial-regulatory-forum</link>
	<description />
	<lastBuildDate>Wed, 16 May 2012 08:14:50 +0000</lastBuildDate>
	<language>en</language>
	<sy:updatePeriod>hourly</sy:updatePeriod>
	<sy:updateFrequency>1</sy:updateFrequency>
	<generator>http://wordpress.org/?v=3.1.1</generator>
		<atom10:link xmlns:atom10="http://www.w3.org/2005/Atom" rel="self" type="application/rss+xml" href="http://feeds.reuters.com/reuters/blogs/FinancialRegulatoryForum" /><feedburner:info xmlns:feedburner="http://rssnamespace.org/feedburner/ext/1.0" uri="reuters/blogs/financialregulatoryforum" /><atom10:link xmlns:atom10="http://www.w3.org/2005/Atom" rel="hub" href="http://pubsubhubbub.appspot.com/" /><feedburner:emailServiceId xmlns:feedburner="http://rssnamespace.org/feedburner/ext/1.0">reuters/blogs/FinancialRegulatoryForum</feedburner:emailServiceId><feedburner:feedburnerHostname xmlns:feedburner="http://rssnamespace.org/feedburner/ext/1.0">http://feedburner.google.com</feedburner:feedburnerHostname><item>
		<title>Firms urged to spend more, complain less to meet compliance challenge</title>
		<link>http://blogs.reuters.com/financial-regulatory-forum/2012/05/16/firms-urged-to-spend-more-complain-less-to-meet-compliance-challenge/</link>
		<comments>http://blogs.reuters.com/financial-regulatory-forum/2012/05/16/firms-urged-to-spend-more-complain-less-to-meet-compliance-challenge/#comments</comments>
		<pubDate>Wed, 16 May 2012 08:14:50 +0000</pubDate>
		<dc:creator>Guest Contributor</dc:creator>
				<category><![CDATA[Financial Regulatory Forum]]></category>
		<category><![CDATA[CODE OF ETHICS]]></category>
		<category><![CDATA[COMPLIANCE MANUALS TRAINING]]></category>
		<category><![CDATA[conduct of business]]></category>
		<category><![CDATA[CONTINUING EDUCATION]]></category>
		<category><![CDATA[FSA]]></category>
		<category><![CDATA[risk management]]></category>
		<category><![CDATA[SUPERVISORY ROLES]]></category>

		<guid isPermaLink="false">http://blogs.reuters.com/financial-regulatory-forum/?p=9179</guid>
		
			<content:encoded><![CDATA[There is no excuse, especially for the big firms, to have understaffed and under-funded compliance and risk management departments.]]></content:encoded>
			<wfw:commentRss>http://blogs.reuters.com/financial-regulatory-forum/2012/05/16/firms-urged-to-spend-more-complain-less-to-meet-compliance-challenge/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>JPMorgan, warned earlier over risk governance, highlights oversight challenges</title>
		<link>http://blogs.reuters.com/financial-regulatory-forum/2012/05/15/jpmorgan-warned-earlier-over-risk-governance-highlights-oversight-challenges/</link>
		<comments>http://blogs.reuters.com/financial-regulatory-forum/2012/05/15/jpmorgan-warned-earlier-over-risk-governance-highlights-oversight-challenges/#comments</comments>
		<pubDate>Tue, 15 May 2012 16:12:15 +0000</pubDate>
		<dc:creator>Guest Contributor</dc:creator>
				<category><![CDATA[Financial Regulatory Forum]]></category>
		<category><![CDATA[FUND AND PORTFOLIO WORK]]></category>
		<category><![CDATA[MONITORING TRADES]]></category>
		<category><![CDATA[operational risk management]]></category>
		<category><![CDATA[proprietary trading]]></category>
		<category><![CDATA[risk management]]></category>

		<guid isPermaLink="false">http://blogs.reuters.com/financial-regulatory-forum/?p=9176</guid>
		
			<content:encoded><![CDATA[Risks posed by multiple centers of trading within big banks came to the spotlight last week.]]></content:encoded>
			<wfw:commentRss>http://blogs.reuters.com/financial-regulatory-forum/2012/05/15/jpmorgan-warned-earlier-over-risk-governance-highlights-oversight-challenges/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>JPMorgan repeats basic mistakes managing traders, say officials</title>
		<link>http://blogs.reuters.com/financial-regulatory-forum/2012/05/15/jpmorgan-repeats-basic-mistakes-managing-traders-say-officials/</link>
		<comments>http://blogs.reuters.com/financial-regulatory-forum/2012/05/15/jpmorgan-repeats-basic-mistakes-managing-traders-say-officials/#comments</comments>
		<pubDate>Tue, 15 May 2012 15:43:18 +0000</pubDate>
		<dc:creator>Guest Contributor</dc:creator>
				<category><![CDATA[Financial Regulatory Forum]]></category>
		<category><![CDATA[conduct of business]]></category>
		<category><![CDATA[corporate governance]]></category>
		<category><![CDATA[corporate risk]]></category>
		<category><![CDATA[JPMorgan]]></category>
		<category><![CDATA[risk management]]></category>

		<guid isPermaLink="false">http://blogs.reuters.com/financial-regulatory-forum/?p=9171</guid>
		
			<content:encoded><![CDATA[Risky and complex positions such as the ones alleged to have been taken by the CIO are notoriously difficult to risk manage, due to a lack of data and because they do not fit neatly into firms' risk...]]></content:encoded>
			<wfw:commentRss>http://blogs.reuters.com/financial-regulatory-forum/2012/05/15/jpmorgan-repeats-basic-mistakes-managing-traders-say-officials/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>JPMorgan may tip Wall Street’s hand on ploys to beat Volcker</title>
		<link>http://blogs.reuters.com/financial-regulatory-forum/2012/05/14/jpmorgan-may-tip-wall-streets-hand-on-ploys-to-beat-volcker/</link>
		<comments>http://blogs.reuters.com/financial-regulatory-forum/2012/05/14/jpmorgan-may-tip-wall-streets-hand-on-ploys-to-beat-volcker/#comments</comments>
		<pubDate>Mon, 14 May 2012 17:55:02 +0000</pubDate>
		<dc:creator>Guest Contributor</dc:creator>
				<category><![CDATA[Financial Regulatory Forum]]></category>
		<category><![CDATA[hedging]]></category>
		<category><![CDATA[JPMorgan]]></category>
		<category><![CDATA[mark to market]]></category>
		<category><![CDATA[proprietary trading]]></category>
		<category><![CDATA[risk management]]></category>
		<category><![CDATA[volcker rule]]></category>

		<guid isPermaLink="false">http://blogs.reuters.com/financial-regulatory-forum/?p=9163</guid>
		
			<content:encoded><![CDATA[The Volcker Rule, part of the Dodd-Frank U.S. financial regulatory overhaul, is meant to prevent risky trading by big banks, which have resisted the measure.]]></content:encoded>
			<wfw:commentRss>http://blogs.reuters.com/financial-regulatory-forum/2012/05/14/jpmorgan-may-tip-wall-streets-hand-on-ploys-to-beat-volcker/feed/</wfw:commentRss>
		<slash:comments>1</slash:comments>
		</item>
		<item>
		<title>Private equity: bank regulators tighten the collar on leveraged loans</title>
		<link>http://blogs.reuters.com/financial-regulatory-forum/2012/05/11/private-equity-bank-regulators-tighten-the-collar-on-leveraged-loans/</link>
		<comments>http://blogs.reuters.com/financial-regulatory-forum/2012/05/11/private-equity-bank-regulators-tighten-the-collar-on-leveraged-loans/#comments</comments>
		<pubDate>Fri, 11 May 2012 07:39:19 +0000</pubDate>
		<dc:creator>Guest Contributor</dc:creator>
				<category><![CDATA[Financial Regulatory Forum]]></category>
		<category><![CDATA[conduct of business]]></category>
		<category><![CDATA[credit and lending]]></category>
		<category><![CDATA[credit risk]]></category>
		<category><![CDATA[portfolio supervision]]></category>
		<category><![CDATA[private equity]]></category>
		<category><![CDATA[private equity investments]]></category>

		<guid isPermaLink="false">http://blogs.reuters.com/financial-regulatory-forum/?p=9155</guid>
		
			<content:encoded><![CDATA[There is an ever-increasing concern that while loan volume has gone up, underwriting practices have deteriorated to unacceptable standards.]]></content:encoded>
			<wfw:commentRss>http://blogs.reuters.com/financial-regulatory-forum/2012/05/11/private-equity-bank-regulators-tighten-the-collar-on-leveraged-loans/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>Corporate governance watch: vote failures signal investor dissatisfaction with executive pay</title>
		<link>http://blogs.reuters.com/financial-regulatory-forum/2012/05/10/corporate-governance-watch-vote-failures-signal-investor-dissatisfaction-with-executive-pay/</link>
		<comments>http://blogs.reuters.com/financial-regulatory-forum/2012/05/10/corporate-governance-watch-vote-failures-signal-investor-dissatisfaction-with-executive-pay/#comments</comments>
		<pubDate>Thu, 10 May 2012 07:46:50 +0000</pubDate>
		<dc:creator>Guest Contributor</dc:creator>
				<category><![CDATA[Financial Regulatory Forum]]></category>
		<category><![CDATA[corporate governance]]></category>
		<category><![CDATA[executive compensation]]></category>
		<category><![CDATA[Institutional shareholder service (ISS)]]></category>
		<category><![CDATA[say on pay]]></category>
		<category><![CDATA[shareholder activism]]></category>

		<guid isPermaLink="false">http://blogs.reuters.com/financial-regulatory-forum/?p=9159</guid>
		
			<content:encoded><![CDATA[The results of say-on-pay votes this year are eagerly anticipated by analysts. Companies are having their executive compensation policies put under the microscope.]]></content:encoded>
			<wfw:commentRss>http://blogs.reuters.com/financial-regulatory-forum/2012/05/10/corporate-governance-watch-vote-failures-signal-investor-dissatisfaction-with-executive-pay/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>Foreign bribery fines and settlements: who should get the money?</title>
		<link>http://blogs.reuters.com/financial-regulatory-forum/2012/05/09/foreign-bribery-fines-and-settlements-who-should-get-the-money/</link>
		<comments>http://blogs.reuters.com/financial-regulatory-forum/2012/05/09/foreign-bribery-fines-and-settlements-who-should-get-the-money/#comments</comments>
		<pubDate>Wed, 09 May 2012 16:04:11 +0000</pubDate>
		<dc:creator>Guest Contributor</dc:creator>
				<category><![CDATA[Financial Regulatory Forum]]></category>
		<category><![CDATA[anti-bribery]]></category>
		<category><![CDATA[fcpa]]></category>
		<category><![CDATA[foreign accounts]]></category>
		<category><![CDATA[SEC]]></category>
		<category><![CDATA[SERAP]]></category>

		<guid isPermaLink="false">http://blogs.reuters.com/financial-regulatory-forum/?p=9150</guid>
		
			<content:encoded><![CDATA[Every year the United States collects billions of dollars from FCPA sanctions. Foreign parties have been looking to seek the funds from the settlements using the justification that the foreign party...]]></content:encoded>
			<wfw:commentRss>http://blogs.reuters.com/financial-regulatory-forum/2012/05/09/foreign-bribery-fines-and-settlements-who-should-get-the-money/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>Negligence charges gain clout in SEC enforcement arsenal</title>
		<link>http://blogs.reuters.com/financial-regulatory-forum/2012/05/09/negligence-charges-gain-clout-in-sec-enforcement-arsenal/</link>
		<comments>http://blogs.reuters.com/financial-regulatory-forum/2012/05/09/negligence-charges-gain-clout-in-sec-enforcement-arsenal/#comments</comments>
		<pubDate>Wed, 09 May 2012 14:46:47 +0000</pubDate>
		<dc:creator>Guest Contributor</dc:creator>
				<category><![CDATA[Financial Regulatory Forum]]></category>
		<category><![CDATA[compliance culture]]></category>
		<category><![CDATA[corporate governance]]></category>
		<category><![CDATA[SEC]]></category>
		<category><![CDATA[settlements]]></category>
		<category><![CDATA[supervisory deficiencies]]></category>

		<guid isPermaLink="false">http://blogs.reuters.com/financial-regulatory-forum/?p=9144</guid>
		
			<content:encoded><![CDATA[Negligence charges have traditionally been used as a fallback position in settlements, but firms may face more cases in the aim of preventative measures for fraud.]]></content:encoded>
			<wfw:commentRss>http://blogs.reuters.com/financial-regulatory-forum/2012/05/09/negligence-charges-gain-clout-in-sec-enforcement-arsenal/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>U.S. SEC set to monitor private equity funds, official says</title>
		<link>http://blogs.reuters.com/financial-regulatory-forum/2012/05/08/u-s-sec-set-to-monitor-private-equity-funds-official-says/</link>
		<comments>http://blogs.reuters.com/financial-regulatory-forum/2012/05/08/u-s-sec-set-to-monitor-private-equity-funds-official-says/#comments</comments>
		<pubDate>Tue, 08 May 2012 20:52:49 +0000</pubDate>
		<dc:creator>Guest Contributor</dc:creator>
				<category><![CDATA[Financial Regulatory Forum]]></category>
		<category><![CDATA[conflicts of interest]]></category>
		<category><![CDATA[hedge funds]]></category>
		<category><![CDATA[private equity]]></category>
		<category><![CDATA[risk management]]></category>
		<category><![CDATA[sec exams]]></category>

		<guid isPermaLink="false">http://blogs.reuters.com/financial-regulatory-forum/?p=9138</guid>
		
			<content:encoded><![CDATA[Fourteen of the 50 largest hedge fund advisers in the world, and 18 of the 50 largest private equity funds in the world, are newly registered with the SEC.]]></content:encoded>
			<wfw:commentRss>http://blogs.reuters.com/financial-regulatory-forum/2012/05/08/u-s-sec-set-to-monitor-private-equity-funds-official-says/feed/</wfw:commentRss>
		<slash:comments>1</slash:comments>
		</item>
		<item>
		<title>U.S. compliance officers need clarity on status as ‘supervisors,’ industry professionals say</title>
		<link>http://blogs.reuters.com/financial-regulatory-forum/2012/05/08/u-s-compliance-officers-need-clarity-on-status-as-supervisors-industry-professionals-say/</link>
		<comments>http://blogs.reuters.com/financial-regulatory-forum/2012/05/08/u-s-compliance-officers-need-clarity-on-status-as-supervisors-industry-professionals-say/#comments</comments>
		<pubDate>Tue, 08 May 2012 20:39:10 +0000</pubDate>
		<dc:creator>Guest Contributor</dc:creator>
				<category><![CDATA[Financial Regulatory Forum]]></category>
		<category><![CDATA[DAVID DEMURO]]></category>
		<category><![CDATA[FINRA]]></category>
		<category><![CDATA[JOBS Act]]></category>
		<category><![CDATA[SEC]]></category>
		<category><![CDATA[supervisory risk]]></category>

		<guid isPermaLink="false">http://blogs.reuters.com/financial-regulatory-forum/?p=9133</guid>
		
			<content:encoded><![CDATA[The JOBS, Act is designed to ease capital formation but it also offers additional compliance uncertainties, said Norman Champ, deputy director of the SEC's Office of Compliance Inspections and...]]></content:encoded>
			<wfw:commentRss>http://blogs.reuters.com/financial-regulatory-forum/2012/05/08/u-s-compliance-officers-need-clarity-on-status-as-supervisors-industry-professionals-say/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
	</channel>
</rss><!-- Dynamic page generated in 0.245 seconds. --><!-- Cached page generated by WP-Super-Cache on 2012-05-16 09:42:04 --><!-- Compression = gzip -->

