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Blogs

Peruse our blogs for the latest, fresh perspective on navigating the maze of global regulations and upcoming milestones. This is your shortcut to staying ahead, packed with insights and expert tips from the forefront of GRC innovation. (5)

Creating Resilient Payment Services

governance, third parties, accountability, assessments, corporate governance, oversight, breach management, operational resilience, monitoring, SM&CR, data sharing

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...

Building Resilient Third Party Chains

governance, third parties, oversight, operational resilience, data sharing, outsourcing, EBA

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...

FMIs, Get set for SM&CR

accountability, SM&CR, certification, conduct rules

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....

Operational Resilience – Is Outsourcing on your Radar?

governance, third parties, oversight, risk management, operational resilience, SM&CR, outsourcing

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...

Regulatory Strategy: What’s the plan?

FCA, RegTech, Regulatory initiative grid, regulatory strategy, FRF

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:...

RegTech: Why does it matter?

FCA, RegTech, innovation, HKMA, EBA

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...

An Overview of Operational Resilience

governance, third parties, oversight, operational resilience, audit trail, outsourcing

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...

UK Financial Services Regulatory Initiatives Forum

FCA, Regulatory initiative grid, regulatory strategy

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...

COVID-19: Is the regulator cutting CASS firms some slack?

FCA, breach management, CASS, client assets, audit trail

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...

HR & Compliance – Bridging the Gap in SMCR

governance, accountability, culture, SM&CR, competence

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:...

SMCR Responsibilities – Documenting Risks and Controls

governance, accountability, culture, corporate governance, SM&CR, competence

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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