Providing informed insights on the financial markets
Managing and regulating risks in the financial markets
Financial Risk and Regulation explores a broad range of topics in finance, financial regulation, compliance, and risk management. These include, among many others, regulatory arbitrage, risks created by a firm’s business model, conflicts of interest, risk appetite as the governing metric in risk management, the distinction between risk and uncertainty, and model risk and model risk management. My understanding of these and other subjects constantly evolves and deepens as I teach them and learn from my students at UCLA and the University of Chicago. Also included are posts from my previous blog, Compliance Today: A Blog on Financial Institution Compliance, hosted by the Chicago-Kent College of Law. The final post for that blog is dated December 4, 2017.
Financial CHOICE Act v. 2: Reducing Protections Against Systemic Risk
Whistleblowing Update: Tone Deaf at the Top and Regulatory Lapses
Prescriptive, “Rules-Based” Regulation is Key to Enhancing Cybersecurity in Financial Institutions
Governor Tarullo’s Departure Will Create a Vacuum in Bank Regulation: How Big Will it Be?
Implementing President Trump’s Dodd-Frank Directive May Lead to More Bailouts, Not Fewer, in the Next Crisis
Court Rulings on SEC’s In-house Courts May Accelerate Deregulatory Trend But Compliance Professionals Should Not be Complacent
Wells Fargo’s fraudulent account openings: What are the (initial) risk management lessons?
Wasting a Crisis: Why Securities Regulation Fails
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FEATURED POSTS
Financial Risk and Regulation explores a broad range of topics in finance, financial regulation, compliance, and risk management.