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SIFMA conference highlights efficient, dynamic US equity markets
Rapid structural change is, however, leading to some industry challenges, which are accentuated by changes in investors’ needs
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FINRA monitoring evolving third-party vendor landscape
Information on third-party vendors is used by FINRA in proactive outreach to member firms including alerts and guidance.
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FCA concerned about conflicts of interest at firms managing private assets
Dear CEO letter to asset managers also highlights market integrity and consumer outcomes as key supervisory priorities.
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Third-party risk a key addition to FINRA’s 2025 Regulatory Oversight Report
Annual report includes new section on third-party supplier risk landscape, including emerging regulatory concern about AI use within firms and by third-parties.
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Why tech, process and people are top of mind for CISO Laurence Lafond
In this second part of our discussion with Lafond, he refers to internal threats, side-channel attacks, vendor risks and having a well-equipped incident response plan and team.
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DORA: Navigating the path ahead
With DORA now in effect, the EU’s financial sector is entering a new phase of operational resilience obligations, where firms must shift from preparation to action.
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Facing up to the challenge as the age of DORA dawns
The absence of a transitional period presents a challenge for firms and third parties.
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XLOD London 2024: What’s next for operational resilience?
Experts from Morgan Stanley, BNY, Nomura and First Abu Dhabi Bank discussed this key issue at the leading compliance industry event.