It’s that time again! This year the FCA has issued a Strategy Document for the next three years to accompany its Business plan for...

In recent years, the term cryptoassets has slowly crept into our vocabulary. It’s a hot topic for debate and in the past few weeks,...

Managing regulatory risk should be a priority for regulated firms, but how well does a board understand its obligations? How does a board...

Prior to AIFMD and UCITS V, transfer agents were unknown, however the need for greater transparency and trust has raised their profile....

In December 2021, the FCA published its proposals for improving the oversight of appointed representatives. Regulatory expectations: The...

One of the fundamental obligations applicable to all regulated firms is the need to implement appropriate processes to manage risks. But...

Like banks, insurers operate on a large scale and globally, but by their very nature, insurers are exposed to more risks than the average...

A firm’s operational error log can provide a great deal of information about its compliance culture. Consider the following: Is it always...

We’re all aware that operational resilience requires an holistic view of a firm’s operations. The Financial Services industry operates...

With the publication of final policy statements there is a clear message that firms must look externally at third party relationships as...