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How wealth managers can avoid misconduct and protect consumers
A year on from the FCA’s Dear CEO “warning shot” to wealth managers on consumer duty and financial crime, we look at how firms can meet these revised expectations.
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XLOD London 2024: Regulator insights on the future of risk management and controls
This panel discussion featured experts from the National Futures Association and Dutch financial markets authority AFM.
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XLOD London 2024: Assessing the risk and control landscape for 2025
The first of a series of reports from XLOD London features a panel discussion with experts from Standard Chartered, Lloyds Bank, and Citigroup.
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SIFMA Annual 2024: Rostin Behnam on digital assets, betting markets and treasury clearing
Our latest report on keynote speeches at the recent SIFMA event in New York features CFTC Chair Rostin Behnam.
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Counting down to DORA compliance
Developments include: potential standardization of threat-led penetration testing, new oversight director for DORA and ESA’s work program.
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DORA implementation guidance published by BaFin
Although non-mandatory and applicable to regulated entities in Germany the practical guidance offers helpful insight into key aspects of the new regime.
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Complexity of bank-nonbank relationships a key trend reshaping banking – OCC
OCC Acting Comptroller Michael J. Hsu also highlighted a growth in large banks and polarization as long-term trends.
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BT fined over ‘catastrophic failure’ of UK emergency call services
Telco found to be unprepared for disruption, with human error compounding systems failure that lasted over 10 hours.