Better Breach Management
September 3, 2021
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A firm’s operational error log can provide a great deal of information about its compliance culture.
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?
The phenomenon of outsourced investment services has exploded in recent years, yet providers who foster greater transparency through digitalization may be the ultimate beneficiaries in the decade ahead.
A new industry-leading programme to boost early-stage FinTechs has been launched today by Engine, The Investment Association’s specialist FinTech accelerator and innovation hub for the
The UK government has recently launched a new regulatory framework that aims to provide formal guidance on how organisations can tackle and build strong operational resilience. In our latest blog, we discuss the what, when and how of the UK’s new upcoming operational resilience mandate.
Leading Point™ are welcoming Severine Raymond Soulier as the newest member of their advisory board. Severine joins Leading Point to expand the product portfolio and its reach across international markets.
The Financial Services industry operates globally and requires a coordinated effort to establish a resilient framework.
Financial organisations should be able to easily select and filter watchlists from Dow Jones or Refinitiv World-Check appropriate to their risk profile, so screening alerts are relevant and time is not lost processing alerts that fall outside of compliance jurisdictions or areas of risk.
It’s crucial that organisations seeking or managing investment processes consider the damage to brand and reputation through an incidence of cloning. This Managed Service has received expert input from Associate Partners Sarah Peaston and Tony Adams, both drawing on their investor protection backgrounds.
Analysts praised “the system’s ability to create a 360-degree view of the client and its workflow management capabilities”
