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Financial Crime: Preventing Market Abuse
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Operational Resilience: Adapt, Respond & Recover
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Financial Crime: Preventing Market Abuse
WEBINARRisk Management: Tactics for Digital Assets
WEBINARRegulatory Updates: Blueprint for Success
WEBINARThe Secret to Successful Product Governance
WEBINARUnderstanding the impact & implementation of the UK’s Consumer Duty
WebinarAccountability: Satisfying global standards
White paperOperational Resilience: Adapt, Respond & Recover
White paperBest Practice in Third Party Risk Management
White paperGuide to the FCA’s Strategy
This was the view of the Payment Systems Regulator (PSR) back in 2015 when the PSR was still relatively new. Six years later and it’s fair to say that payments systems are even more critical today. It’s a message echoed by the Bank of England (BoE) and evidenced by the...
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Both the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA) require firms to identify and manage their risks. Over the years we’ve seen both regulators focus on outsourced and third party arrangements. Current efforts to build a more...
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HM Treasury issued a consultation earlier in July. The proposals signal HMT’s intention to extend the Senior Managers & Certification Regime (SM&CR) to include Financial Market Infrastructures (FMIs). Interested parties should submit their responses by 22 October 2021....
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With the publication of final policy statements there is a clear message that firms must look externally at third party relationships as part of their Operational Resilience framework. The requirements are designed to promote stronger and more effective governance of...
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J uly 2021 The Financial Services Future Regulatory Framework (FRF) Review was launched by the HMT in 2019. Its purpose was to consider the longer term strategy for the financial services (FS) sector and create a framework for life after the EU. Phased Approach:...
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July 2021 RegTech seems to be on everyone’s lips these days, but can it really help financial services? The regulators seem to think so. UK’s view of RegTech There has been a steady increase in regulatory focus on technology and innovation. We see the regulators...
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Operational Resilience has been a hot topic in the UK for a number of years and has gathered momentum recently as the supervisory bodies issued final requirements and firms now prepare for implementation by March 2022. In 2017, Charlotte Gerken, then Director of...
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The FS Regulatory Initiatives Forum was created to coordinate efforts of its members. By sharing information and reviewing the timing of regulatory initiatives consideration is given to the impact of implementation for firms. The Forum held its inaugural meeting in...
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With the unprecedented levels of support coming from government to numerous business sectors to mitigate the impact of the COVID-19, Senior Managers at CASS firms could have been forgiven for looking eagerly to the FCA’s responses last month about COVID-related...
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Since the introduction of the Senior Managers and Certification Regime (SM&CR), it has been interesting to see how and where firms have allocated most of their resources to comply with the new rules. Implementation tends to follow one of two strategic approaches:...
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In light of the turbulence caused by the Covid-19 pandemic, SMCR may have been pushed down the priority list for most firms for now. The disruption has however given rise to a number of practical and compliance challenges which have a direct and imminent impact on...
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