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FCA examines UK EMIR Refit compliance
Inadequate resource planning and dependence on external vendors highlighted in Market Watch 84 as key challenges for firms one year after the implementation of the new regime.
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BaFin publishes DORA document requirements cheat sheet
Comprehensive register of key documents is relevant to all organizations running digital systems and needing to ensure their security.
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BaFIN to intensify third-party supervision in 2025
The regulator continues to be concerned about outsourcing dependency and concentration risk and wants to obtain clarity on technology interconnectedness in the financial sector.
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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.