Posts for Tag : Product Control

Managing the winds of change

In recent years Control Staff have found their workload dominated by rooting out bad behaviour resulting from poor culture. The beginning of 2017 heralds a decade since the onset of the Credit Crisis, which set the stage for a fundamental repositioning on how Financial Institutions and their staff conduct business. All the while however, the markets have been in a prolonged cycle of status quo. Households and businesses have enjoyed prolonged low interest rates, and Central Banks have been preoccupied for the most part by the threat of falling prices. This cycle looks set to change.

Control staff urged to consider secondary effects of Swiss National Bank move #traderfundingrisk #CHF

Nicolas Corry

Nicolas Corry, Managing Director, nicolas.corry@skadilimited.com

Growth of Alternative Trading Venues poses IPV challenge, submission risk

Clive Bastow, Senior Consultant, clive.bastow@skadilimited.com

Hong Kong Liquidity Risk

Nicolas Corry

Nicolas Corry, Managing Director, nicolas.corry@skadilimited.com

Pimco Cooperating in SEC Probe of Gross’ Total Return ETF

Pimco Cooperating in SEC Probe of Gross’ Total Return ETF

http://bloomberg.com/news/2014-09-24/pimco-total-return-etf-drawing-sec-scrutiny-wsj-reports.html Key takeaway for auditors are suppression, transaction and trade reporting, valuation and control