Capital Market firms are increasingly seeking additional compliance assurance or to outsource some or all of their compliance functionality. It’s being driven by increasing regulatory compliance demands, a spectre of greater personal...
COVID-19 has caused unprecedented disruption to regulated financial services firms. Having implemented business continuity and crisis management plans these firms will now be discovering just how effective these plans were. It’s important...
From experience, the following are key to delivering a successful SMCR implementation project: Setting the tone at the top to embed the right culture adopting the spirit, not just the letter of...
As a newly authorised crypto asset business one of the most important things you’ll need to ensure, right from the start, is that you have set up and embedded your governance, risk...