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Episode 11 Regulatory Update - FCA'S 2022 Priorities
On 31 December 2021 the Financial Conduct Authority (FCA) issued a press release reviewing its highlights of the year.
David Morrey
David Morrey
| 37 min listen | 25 Feb 2022
Regulatory Challenges for UK Prime Brokers in 2022
Article Regulatory Challenges for UK Prime Brokers in 2022
A look at new financial regulatory requirements placed on firms and the challenges and how firms can prepare for these developments.
Rashim Arora
Rashim Arora
| 23 Feb 2022
Firms must build robust AR due diligence and oversight
Article Firms must build robust AR due diligence and oversight
Firms must strengthen appointed representative due diligence and oversight to meet the FCA's new rules.
David Morrey
David Morrey
| 22 Feb 2022
Firms must strengthen reporting to meet new AR rules
Article Firms must strengthen reporting to meet new AR rules
Firms must improve Appointed Representative reporting to meet new FCA rules on notification and annual returns.
David Morrey
David Morrey
| 14 Feb 2022
Firms must prepare for appointed representative changes
Article Firms must prepare for appointed representative changes
Potential changes to well-established regime can impact compliance practices for firms.
David Morrey
David Morrey
| 07 Feb 2022
Building an ESG data platform for financial services
Case study Building an ESG data platform for financial services
We built a tool for a leading asset manager that standardises ESG scores and evaluates underlying assets in portfolios.
01 Feb 2022
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Episode 10 Regulatory Update - 2021 Reflections
As we approach the end of the year, the FCA has released its much-anticipated final consultation on the proposed new consumer duty.
David Morrey
David Morrey
| 41 min listen | 26 Jan 2022
Digitalisation raises exposure to cyber threats
Article Digitalisation raises exposure to cyber threats
A look at 2022 trends in cyber resilience, perception gaps, ransomware, SME-related risk, and the demand for regulation.
Nick Smith
Nick Smith
| 26 Jan 2022
Log4j: Protecting against vulnerabilities
Article Log4j: Protecting against vulnerabilities
Setting up defences against log4j vulnerabilities is critical to protect your business from ransomware cyber attacks.
Nick Smith
Nick Smith
| 26 Jan 2022
PRA: 2022 themes for international and UK banks
Article PRA: 2022 themes for international and UK banks
The PRA announces key themes for international and UK banks in 2022: from LIBOR transition to inclusion and diversity
Paul Young
Paul Young
| 18 Jan 2022
Data sharing across financial services
Article Data sharing across financial services
In collaboration with Pinsent Masons, we're building a data sharing centre of excellence for financial services.
17 Jan 2022
FCA and PRA signal prime brokerage risk concerns
Opinion FCA and PRA signal prime brokerage risk concerns
Regulators respond to Archegos collapse by telling banks to review their business models by end of Q1 2022.
Paul Young
Paul Young
| 17 Jan 2022
Lloyd's expects managing agents to be proactive on ESG
Article Lloyd's expects managing agents to be proactive on ESG
As Lloyd's works towards sustainable underwriting, managing agents need to set up their own frameworks to support it.
Irina Velkova
Irina Velkova
| 14 Jan 2022
Assurance helps deliver robust organisational change
Article Assurance helps deliver robust organisational change
Firms are looking to deliver rapid change post-pandemic. Assurance helps enable strategy and prepare for new challenges.
Paul Anthony
Paul Anthony
| 12 Jan 2022
Financial services: Key lessons for 2022
Article Financial services: Key lessons for 2022
Reflecting on the lessons from the last twelve months is vital to stay ahead. This is what you need to know in 2022.
Alex Ellerton
Alex Ellerton
| 23 Dec 2021
Court approves Prudential-Rothesay annuity transfer
Technical Court approves Prudential-Rothesay annuity transfer
The High Court approved the Prudential-Rothesay annuity transfers, providing additional clarity for Part VII transfers.
Simon Perry
Simon Perry
| 17 Dec 2021
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