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23 Mar 2022, 8:24 am
In the letter the FCA outlines its view of the key risks that custody and fund services’ firms need to manage in order to protect investors and the integrity of the markets in which they operate. [read post]
7 Jun 2016, 11:51 am
The post The Potential Risks of Uber’s New Cross-Border Service to Mexico appeared first on Graham Donath. [read post]
12 May 2021, 11:26 am
Key elements for a strong risk assessment are knowing your products, your distribution, and your customers because no two life insurance companies are the same.What can Currin Compliance Services do for you? [read post]
16 Feb 2023, 9:47 am
On 16 February 2023, the Financial Stability Board (FSB) published a report on the financial stability risks of decentralised finance (DeFi). [read post]
29 Sep 2020, 1:26 am
In this new video series, our Risk Consulting team provide their insights on hot topics in the world of risk and regulation. [read post]
18 Apr 2023, 3:25 am
Here’s the full list of priorities, which are laid out in the press release accompanying the report: – Risk of fraud – Auditing and accounting risks – Risk assessment and internal controls – Financial services specific considerations – Broker-dealer specific considerations – M&A, including de-SPAC transactions – Digital assets – Use of the work of other auditors – Quality control (particularly talent… [read post]
3 Mar 2019, 1:02 pm
All material risks surrounding investment products or programs should be disclosed in advance. [read post]
5 Mar 2012, 9:00 pm
” He notes that successful sales people “tailor their products and services to meet a demand”. [read post]
19 Sep 2007, 8:17 am
Risk consulting company Kroll said Tuesday that it has acquired TrialGraphix from a holding company controlled by the Chicago private-equity firm Frontenac Co.Frontenac didn't disclose terms of the definitive agreement it signed with Kroll.TrialGraphix, with a professional staff of about 300, provides discovery, trial consulting, and courtroom presentation services for trial attorneys, litigation support teams, and corporate counsel. [read post]
12 Aug 2020, 10:00 pm
Before doing so, national banks and FSAs should implement appropriate risk management systems related to cryptocurrency custody, consider whether other laws or regulations apply to such custody services, and inform their OCC supervisors prior to engaging in cryptocurrency custody services. [read post]
12 Aug 2020, 10:00 pm
Before doing so, national banks and FSAs should implement appropriate risk management systems related to cryptocurrency custody, consider whether other laws or regulations apply to such custody services, and inform their OCC supervisors prior to engaging in cryptocurrency custody services. [read post]
12 Aug 2020, 10:00 pm
Before doing so, national banks and FSAs should implement appropriate risk management systems related to cryptocurrency custody, consider whether other laws or regulations apply to such custody services, and inform their OCC supervisors prior to engaging in cryptocurrency custody services. [read post]
12 Aug 2020, 10:00 pm
Before doing so, national banks and FSAs should implement appropriate risk management systems related to cryptocurrency custody, consider whether other laws or regulations apply to such custody services, and inform their OCC supervisors prior to engaging in cryptocurrency custody services. [read post]
12 Aug 2020, 10:00 pm
Before doing so, national banks and FSAs should implement appropriate risk management systems related to cryptocurrency custody, consider whether other laws or regulations apply to such custody services, and inform their OCC supervisors prior to engaging in cryptocurrency custody services. [read post]
12 Aug 2020, 10:00 pm
Before doing so, national banks and FSAs should implement appropriate risk management systems related to cryptocurrency custody, consider whether other laws or regulations apply to such custody services, and inform their OCC supervisors prior to engaging in cryptocurrency custody services. [read post]
30 Oct 2017, 5:19 am
The OCC states that “unique risks” are created when a bank engages in new activities through third-party relationships and stresses the need for management to understand such risks and conduct adequate due diligence on third-party service providers. [read post]
1 May 2023, 10:00 pm
Our presenters will address certain recommended provisions for terms of service, relevant questions to ask and issues to consider when planning to enter a new geographic market, as well as recommendations on how to manage risk with expanded regulatory requirements. [read post]
1 May 2023, 10:00 pm
Our presenters will address certain recommended provisions for terms of service, relevant questions to ask and issues to consider when planning to enter a new geographic market, as well as recommendations on how to manage risk with expanded regulatory requirements. [read post]
1 May 2023, 10:00 pm
Our presenters will address certain recommended provisions for terms of service, relevant questions to ask and issues to consider when planning to enter a new geographic market, as well as recommendations on how to manage risk with expanded regulatory requirements. [read post]
1 May 2023, 10:00 pm
Our presenters will address certain recommended provisions for terms of service, relevant questions to ask and issues to consider when planning to enter a new geographic market, as well as recommendations on how to manage risk with expanded regulatory requirements. [read post]
