Operational Risk management (ORM) and the oft associated term Enterprise Risk Management (ERM) have generally been utilised as corporate buzzwords, organisation culture idioms referenced in…
What is a Compliance Function? Compliance is an ambivalent function. On the one hand you are considered as the regulators’ ally inside the firm; overseeing…
FCA Authorisations: What are FCA Authorised Persons and FCA Approved Persons? FCA Authorisations: Authorised Persons ( applying section 31 of the Financial Services & Markets…
So it’s Finally Here – Solo Regulated Firms From the end of 2019 will be under the SM&CR regime. The SM&CR aims to reduce harm…
buy now £92.25 Defines more than 900 metrics measuring compliance with legislation, resiliency of security controls, and return on investment. This book explains what needs…
