Transparency & Transfer Agents
Prior to AIFMD and UCITS V, transfer agents (TAs) were unknown, however the need for greater transparency and trust has raised their...
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Blog
Priscilla Gaudoin
- Sep 29, 2021
CASS Firms: Focus on Resilience
In 2020 the FCA issued three Dear CEO letters. The letters were a reminder to firms of the obligations relating to client assets and...
187
Priscilla Gaudoin
- Aug 2, 2021
Building Resilient Third Party Chains
Both the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA) require firms to identify and manage their...
61
Priscilla Gaudoin
- Jul 27, 2021
Operational Resilience – Is Outsourcing on your Radar?
With the publication of final policy statements there is a clear message that firms must look externally at third party relationships as...
45
Priscilla Gaudoin
- Jul 7, 2021
An Overview of Operational Resilience
Operational Resilience has been a hot topic in the UK for a number of years and has gathered momentum recently as the supervisory bodies...
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