Risk assessments
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OPINION: Financial crime risk and operational risk – same threats, different questions
David Brain surfaces a gap in how these risks are commonly framed, and explains why a financial crime BWRA should not be treated as a subset of operational risk.
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FCA says firms must help retail investors understand complex ETP risks
The regulator has raised concerns over some firms having weaker controls, and limited assessment of customers’ experience and knowledge of ETP-associated risks.
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Pritchard signals FCA support for “responsible and managed” risk-taking
Senior executive says missing out on opportunities can have a greater cost in the long term than taking responsible and managed risks.
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CFD providers may be failing to deliver fair value to consumers, FCA warns
The regulator said there is evidence of good practice too, but that firms can do better in adhering to the Consumer Duty.
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Distribution channels biggest AML/TF risk in Finnish life insurance sector
General risk level remains at level two of a four-stage scale.
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How the new age of AI can guard global markets
We need to understand the creative potential of AI if we are to feel the benefits.
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Glencore’s compliance report offers insight into post-monitor enhancements
Global commodities trading firm produces ethics and compliance progress report focusing on monitoring, risk assessments and training.
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Keeping kids safe online, one risk assessment at a time
Given media coverage and Ofcom’s policy statement, the protection of children online is under even greater scrutiny than before.