Why Managing Conflicts should still be on your agenda!
Conflicts of interest is a subject matter that should be relatively easy to understand and as such, straightforward when it comes to...
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Blog
Priscilla Gaudoin
- Jan 23
CAR 2022: What should you focus on?
The Irish Client Asset Regulations (the CAR) were introduced to inspire public confidence and protect investors if an investment firm...
161
Priscilla Gaudoin
- Oct 24, 2022
It's time we discussed Pension Dashboards
Whether you work in the pensions sector, or not, everyone needs to understand what Pension Dashboards are, and what it means for you...
103
Priscilla Gaudoin
- Sep 30, 2022
Why we’re talking about operational resilience and critical third parties right now
In a previous article, we highlighted some of the post-Brexit changes being implemented by the Financial Services and Markets Bill (FSM...
146
Priscilla Gaudoin
- Sep 6, 2022
SM&CR: an update for FMIs
UK Government issued a consultation paper last year setting out its proposals to replicate the Senior Managers & Certification Regime...
66
Priscilla Gaudoin
- Aug 25, 2022
Dawning of a tougher Appointed Representatives Regime
The Appointed Representative Regime (the Regime) was introduced in 1986 initially for investment services. With the introduction of the...
193
Priscilla Gaudoin
- Apr 21, 2022
Assertive FCA issues Business Plan & Strategy
It’s that time again! This year the FCA has issued a Strategy Document for the next three years to accompany its Business plan for...
50
Priscilla Gaudoin
- Mar 30, 2022
Cryptoassets: Why be concerned?
In recent years, the term cryptoassets has slowly crept into our vocabulary. It’s a hot topic for debate and in the past few weeks,...
25
Priscilla Gaudoin
- Mar 8, 2022
Manage Risk & Stay Out of the Headlines
Managing regulatory risk should be a priority for regulated firms, but how well does a board understand its obligations? How does a board...
30
Priscilla Gaudoin
- Feb 15, 2022
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...
57
Priscilla Gaudoin
- Jan 21, 2022
How well do you know your Appointed Representatives?
In December 2021, the FCA published its proposals for improving the oversight of appointed representatives. Regulatory expectations: The...
21
Priscilla Gaudoin
- Nov 19, 2021
Tips to Create Risk Ownership within your firm
One of the fundamental obligations applicable to all regulated firms is the need to implement appropriate processes to manage risks. But...
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Priscilla Gaudoin
- Nov 8, 2021
Operational Resilience: Why is it so important for insurers?
Like banks, insurers operate on a large scale and globally, but by their very nature, insurers are exposed to more risks than the average...
84
Priscilla Gaudoin
- Sep 15, 2021
Better Breach Management
A firm’s operational error log can provide a great deal of information about its compliance culture. Consider the following: Is it always...
87
Priscilla Gaudoin
- Aug 17, 2021
Operational Resilience: Why Setting International Standards is Crucial
We’re all aware that operational resilience requires an holistic view of a firm’s operations. The Financial Services industry operates...
21
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...
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