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Deep market engagement needed in the face of accelerating change says FCA chief Nikhil Rathi
Freeing up capital, increasing liquidity and shifting from reactive to proactive regulation were all identified as key to addressing ‘predictable volatility’.
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Why we need a modern approach to geopolitical risk in the financial sector
A more proactive approach to resilience building in a new geopolitical risk paradigm for banks and capital markets is needed.
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FCA data clarifies pitfalls for asset management authorizations
The UK regulator recently published a list of common errors it observed from asset management firms applying for authorization or variation of permission.
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The GRIP Files: Susannah Hammond, Compliance Officer
Susannah Hammond tells us about her compliance career and offers insight and advice on the big issues that affect compliance.
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Opinion: What can we learn from the CrowdStrike outage?
Businesses exposed to technology and concentration risk tied to large vendors and ubiquitous systems is a sign of the times, says Alex Viall.
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Crypto firms need to improve compliance outcomes says FCA
The regulator’s review of firms’ adherence to ‘back-end’ marketing rules uncovers widespread poor practice.
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How to conquer internal audit’s stakeholder challenges with authenticity
It helps to get strategic and stay true to oneself when navigating the stakeholder jungle.
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Compliance & Conversation: Why is the spotlight on surveillance?
Two leading practitioners shared their thoughts on the role and function of surveillance in changing times.