Compliance is an ambivalent function. On the one hand you are viewed as the regulators’ ally inside the investment company; overseeing the implementation of their…
The term Operational Risk Management (ORM) is not brand-new. It has been tossed about in organisations across the world for a number of years. ORM…
ORM and the oft associated term Enterprise Risk Management (ERM) have generally been utilised as corporate buzzwords, organisation culture idioms referenced in board conferences and…
Brand new FCA suggestions on operational and security risk management by Payment Services Providers (PSPs) In March 2018, the FCA distributed its consultation paper (CP18/6)…
The changes made to the FCA’s complaint handling rules in June 2016 are well documented and should be adopted by every financial services firm buy…