Risk - Complyport UK Consultancy Service

FCA and PRA multi-firm review on Algorithmic Trading Compliance in Wholesale Markets

Of relevance to: All firms carrying out algorithmic trading in wholesale markets The Financial Conduct Authority (“FCA”) and Prudential Regulation Authority (“PRA”) have been reviewing firms’ algorithmic trading activity and […] [...]

Information Sharing in the Private Sector

Of relevance to: All firms, particularly those within groups of companies The Financial Action Task Force (FATF) have issued additional guidance on Private Sector Information Sharing which aims to improve […] [...]

Ten warning signs your GRC needs improving

If you feel like your business is constantly fixing problems and you’re worried about your legal or regulatory obligations, then perhaps your Governance, Risk management and Compliance (GRC) is weak […] [...]

FCA Business Plan 2016/17

Of Relevance to: To all firms FCA Business Plan: 2016/17 The FCA has published its Business Plan for 2016/17, which also includes the ‘Risk Outlook’ (page 12) which effectively feeds […] [...]

IT and GRC – A Solution to the Gap at the Top?

Sound practices in Governance, Risk and Compliance (GRC) are the key to engaging senior management in cyber security planning. This is the key conclusion from recent consideration of cyber security […] [...]

AML: UK Risk Management

HM Treasury has published the first money laundering and terrorist financing (AML/CTF) national risk assessment (NRA). It may be recalled that earlier this year it published a supervision report on […] [...]

Money Laundering: Due Diligence Risk Factors

Under Article 17 (‘simplified due diligence’) and Article 18(4) (‘enhanced due diligence’) of the fourth Money Laundering Directive (2015/849), the European Supervisory Authorities (ESAs) are required to issue guidelines to […] [...]

Improving Conduct

In July Tracey McDermott, director of supervision, at the FCA, delivered a speech at the British Bankers’ Association Conference. Aimed at the wholesale market, the speech gives clues to the […] [...]

FCA Business Plan and Outlook

Around this time of the year the FCA publishes its Risk Outlook (identifying the most important areas of focus) and its Business Plan (setting out the Regulator’s priorities for the […] [...]

Risk Management: Credit Rating Agencies

This will be of particular interest to those firms responsible for the management of AIFs and UCITS (and occupational retirement schemes – IORPS – that are subject to Directive 2003/41/EC). […] [...]

Supervision of C4 Firms

When the FCA took over from the FSA, it introduced a new approach to supervision, albeit that for many small firms it may have been difficult to spot any practical […] [...]

FCA Risk Outlook 2014

The publication of the FCA Business Plan 2014/15 (see separate article in this Regulatory Roundup) was accompanied by the FCA Risk Outlook 2014. The FCA Risk Outlook identifies potential issues […] [...]

FCA Business Plan 2014/15

The FCA is now a year old and has recently published its second Business Plan, which provides an insight into the areas that the FCA will concentrate on, including by […] [...]

EMIR: Risk Mitigation

As we know, certain risk mitigation techniques relating to OTC derivative trades not cleared by a CCP came into force on 15 September 2013, namely: Dispute resolution: a firm must […] [...]

CRD IV: Remuneration and Risk Takers

The European Commission has adopted Regulatory Technical Standards on the identification of ‘material risk takers’, being those staff whose professional activities have a material impact on a firm’s risk profile […] [...]

Hedge Funds and Systemic Risk

The FSA has published the findings from the latest Hedge Fund Survey (HFS) and Hedge Fund as Counterparty Survey (HFACS). As will be known from earlier Regulatory Roundups e.g. issue […] [...]

FSA Business Plan & Financial Risk Outlook

As mentioned in the previous article, CP11/2 contains a summary business plan for 2011/12. Traditionally the FSA issues an annual Financial Risk Outlook (FRO) late January/early February – although last […] [...]

Derivative Risk

The FSA has published proposed guidance on derivative risk management practices following a survey of twelve asset managers. Although a ‘derivative risk management process’ is normally associated with authorised funds […] [...]

Digestif

And to round off a heavy FRO 2010 the FSA recommend the Asset Management Sector Digest 2010. There are nine key messages in the publication, four of which are deemed […] [...]

Financial Risk Outlook

Somewhat later than usual the FSA has published its 2010 Financial Risk Outlook. The FSA’s 2010/11 Business Plan (‘BP’) will follow in the next few days. It should cover the […] [...]

Tag: Risk

FCA and PRA multi-firm review on Algorithmic Trading Compliance in Wholesale Markets

Ten warning signs your GRC needs improving

FCA Business Plan 2016/17

IT and GRC – A Solution to the Gap at the Top?

AML: UK Risk Management

Money Laundering: Due Diligence Risk Factors

Improving Conduct

FCA Business Plan and Outlook

Risk Management: Credit Rating Agencies

Supervision of C4 Firms

FCA Risk Outlook 2014

FCA Business Plan 2014/15

EMIR: Risk Mitigation

CRD IV: Remuneration and Risk Takers

Hedge Funds and Systemic Risk

FSA Business Plan & Financial Risk Outlook

Derivative Risk

Digestif

Financial Risk Outlook

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