It’s crucial that organisations seeking or managing investment processes consider the damage to brand and reputation through an incidence of cloning; as well as the real life impact.
One of the most pressing questions the wealth management industry must now answer is how wealth firms change and improve their offering in line with different client demands and segments. They should be working to offer clients the digital tools and software capabilities to be able to enjoy better levels of engagement with their relationship manager.
Catch up on the latest research and insights from Lynk’s experts.
Corporate Governance isn’t just about who sits on your board
Regulatory change management for financial services is constant and unabating. Just as the compliance team gets on top of the latest regulatory development, another comes along. Large, global financial organisations not only have to content with the volume and velocity of regulatory change, but also with cross-border issues such as conflicting regulatory requirements, translating from multiple languages and a lack of global regulatory standards.
Other jurisdictions look to the UK’s implementation of SM&CR to inform their own regimes.
Earlier this year, the BEIS issued its consultation paper: Restoring trust in audit and corporate governance. The aim is to protect investors from corporate fraud and rebuild trust.
The research questions have been compiled in association with various professionals in the AML sector. A copy of the report will be available later this year. Submit your response today.
A firm’s operational error log can provide a great deal of information about its compliance culture.
Investors are invited to experiment with the open beta launch of Liquidity Hub, the peer-to-peer trading venue that brings trustless over-the-counter transactions to the digital asset market.
All regulated firms are obliged to conduct compliance monitoring. Various issues can throw the entire programme off schedule from the start.
As asset managers head back to the office, what digital initiatives will help to set them apart from the competition over the next decade?
