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Building operational resilience – a breakdown of the regulator’s rules
Jonathan Pepper

27 April 2021

Following draft regulations published in December 2019, regulators have recently published their rules and guidance regarding building operational resilience. We’ve broken down the main points – read more here.

Financial services internal audit and assurance
Jonathan Pepper

06 January 2021

How can boards and managers of financial services firms achieve growth whilst managing risks and meeting regulatory obligations? The answer lies in internal audit. Find out how RSM can help provide the internal support that financial services organisations are looking for.

Fully outsourced internal audit
Jonathan Pepper

06 January 2021

Outsourcing your internal audit function to an independent third party provider can have numerous benefits for your business. Find out how RSM can help provide a fully outsourced internal audit solution for your business here.

Co-sourced internal audit
Jonathan Pepper

06 January 2021

Co-sourced internal audit is a collaborative partnership between in-house teams and an externally appointed provider. This approach can help to plug resource and knowledge gaps and help to complete a specific project or task on time. Find out about RSM’s co-sourced internal audit solutions here

PRA Dear CEO letter on Regulatory Reporting – what does it mean for you?
James Roberts

06 January 2020

The PRA published the latest in sequence of Dear CEO letters on the subject of regulatory reporting at the end of October. Consistent with earlier ones, this letter reiterates firms’ obligations to ensure regulatory returns are accurate, compliant with the rules and that the reporting framework is subject to an adequate degree of governance and oversight.

SMCR – will you be ready for 9 December?
Jonathan Pepper

02 September 2019

By the 9th December 2019 all solo-regulated firms will have to be compliant with the FCA’s new Senior Manager & Certification Regime (SMCR) and with the SMCR stocktake report published by the FCA last month (FCA SMCR Stocktake Report) it’s clear that conduct, culture and accountability are still firmly in the spotlight.

Principle four – Banks undertake appropriate model validation and independent review activities to ensure sound model performance and greater understanding of model uncertainties
Alistair Hynd

01 November 2018

As with the other three principles, the PRA gives sound, common sense guidance overall but leaves a lot of practical matters untouched and questions unanswered.

Principle three – Banks have implemented a robust model development and implementation process to ensure appropriate use of models
Jonathan Pepper

25 September 2018

Have you got a robust model development and implementation process and can you demonstrate it to the regulator?

Don't slip up around whistleblowing
Jonathan Pepper

12 September 2018

Historically, whistleblowing and policies around it has been more embedded in financial services than other industries, with FCA requirements around an 'effective risk management system' outlining policies and procedures around whistleblowing and the whistleblower themselves. But are firms adhering to the FCA handbook to pay lip service, or are incidents being taken seriously?

RSM strengthens financial services risk assurance capability with key partner hire
Jonathan Pepper

15 August 2018

Leading audit, tax and consulting firm RSM has appointed Rob Gordon as a risk assurance partner to lead its financial services internal audit and assurance offering in London and the South East.

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