Tag Archives: top compliance consulting firms

Underpinning Better Decision-Making By Using MI

Underpinning better decision-making by employing Effective Management information for conduct risk The conception of “conduct risk” has risen to the top of firms’ and regulators’ agendas in the last few years. In the UK, the FCA presumes conduct risk management as being implanted into firms’ risk management frameworks, maintained by suitable management information (MI). Building […]

Using Effective Management information for conduct risk

Underpinning better decision-making by using effective Management information for conduct risk The principle of “conduct risk” has risen to the top of firms’ and regulators’ agendas recently. In the UK, the FCA assumes conduct risk management to be embedded into firms’ risk management frameworks, assisted by relevant management information (MI). Building on latest regulatory and […]

Functional Risk Management Awareness

The term Operational Risk Management (ORM) is not brand-new. It has been tossed about in businesses throughout North America for the last a number of years. ORM and the oft associated term Enterprise Risk Management (ERM) have actually been used as corporate buzzwords, organisation culture idioms referenced in board meetings and articulated throughout presentations. Current […]

Employing Effective Management Information for Conduct Risk

Underpinning better decision-making by employing Effective Management information for conduct risk The philosophy of “conduct risk” has bubbled to the top of firms’ and regulators’ agendas in the last few years. In the UK, the FCA expects conduct risk management as being implanted into firms’ risk management frameworks, promoted by proper management information (MI). Developing […]

Can You Really Afford Generic Ongoing Compliance Support?

Can You Really Afford Generic Ongoing Compliance Support? Compliance is an ambivalent function. On the one hand you are considered as the regulators’ ally inside the investment company; overseeing the implementation of their regulation. Conversely, you are paid by the investment company and part of their culture and hierarchy. You might say ‘front office’ (traders […]

Effective Management information for conduct risk

Underpinning better decision-making by making use of Effective Management information for conduct risk The conception of “conduct risk” has been elevated to the top of firms’ and regulators’ agendas in recent years. In the UK, the FCA expects conduct risk management to be lodged into firms’ risk management frameworks, sustained by relevant management information (MI). […]

Can You Really Afford Generic The Same Old Compliance Support?

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 regulation. Conversely, you are paid by the investment firm and a part of their culture and hierarchy. You might say ‘front office’ (traders making the cash) considers compliance the way […]

Functional Threat Management Awareness

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 and the oft associated term Enterprise Risk Management (ERM) have actually normally been used as corporate buzzwords, business culture idioms referenced in board meetings and articulated throughout presentations. Current advancements, […]

NEW PSD APPRoach Document From FCA December 2018

Updated FCA suggestions on operational and security risk management by Payment Services Providers (PSPs) In March 2018, the FCA produced its consultation paper (CP18/6) on its proposed approach to the application of the European Banking Authority’s (EBAs) final guidelines on security strategies for operational and security risks of payments services under PSD2. The Latest Approach […]

Functional Risk Management Awareness

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 articulated throughout presentations. Current developments, such as the production of the Sarbanes-Oxley (SOX) Act in 2002 in response to growing financial scandals in the U.S., have brought Operational Risk Management, […]