Exploring the latest risk and regulation issues in financial services.
19 January 2021
To detect market abuse it’s necessary to monitor behaviour and how it manifests through trading. Identifying connected events and patterns that are formed over time is a way of understanding this behaviour.
15 January 2021
We look at the challenges that private equity firms are grappling with in implementing the Sustainable Financial Disclosure Regulation.
11 January 2021
Comms surveillance can be the most resource-intensive element of a surveillance programme often generating alerts in the hundreds of thousands annually. The industry remains on a continuous search for a more effective solution.
16 December 2020
Alex Bertolotti explores the need of IFRS 17 delivery remaining constant despite 2020 world events such as COVID-19 and their impacts on the insurance industry.
15 December 2020
What can investment firms learn from the FCA’s data collection request on the Investment Firms Prudential Regime?
11 December 2020
Where surveillance should sit across the lines of defence has never been definitively resolved. We explore four emergent trends that could shape future debate.
10 December 2020
FCA powers to set rules and guidance in the pre-paid funeral plan sector moves a step closer.
10 December 2020
"We discuss three key takeaways from the FCA’s evaluation of the Retail Distribution Review (RDR) and Financial Advice Market Review (FAMR)
