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Staying alert to financial crime risks and emerging threats during the coronavirus pandemic
Paul Jennings

21 May 2020

Financial crime is seeing a surge of activity and it’s because criminals are maximising on uncertainty. Read more here about what key questions businesses should be asking themselves.

RSM welcomes new Financial Services audit partner
David Fenton

17 October 2019

RSM has appointed Neil Griggs as an audit partner in its Financial Services team.

Huge jump in cyber incidents reported by financial services firms
Steven Snaith

01 July 2019

New data obtained by RSM under a freedom of information request has revealed that financial services firms reported 819 cyber incidents to the Financial Conduct Authority in 2018, a huge rise on the 69 incidents reported in 2017.

The growing issue of ‘gone away’ clients in the financial services sector
Paul Jennings

03 December 2018

'Gone away' clients cause issues with anti money laundering (AML) and other regulatory compliance issues for pension providers and financial services firms. Find out how RSM can help you trace and reconnect with gone aways.

Driving performance and efficiencies in financial services | Solutions to improve your finance function
Harry Capewell

Our approach provides the flexibility and scalability to adjust your finance function as your business needs change, providing you with the level of service you require through the lifetime of our partnership. Find out more about RSM's outsourcing offering to financial services firms.

Our insights on CASS
David Fenton

22 November 2018

Two years into the Assurance Standard, what have we learned?

Gender pay gap in the financial services sector
Kerri Constable

01 November 2018

Since Gender Pay Gap Pay Regulations were introduced last year, pay and pay parity have remained very high on the agenda of boards and senior leadership teams across the Financial Services sector.

Paul Jennings

Partner

Paul specialises in regulatory compliance including three lines of defence, governance and SM&CR, Authorisations, conduct risk, market abuse, financial promotions, Compliance Surveillance Systems, AML/Financial Crime, Treating Customers Fairly and s166 skilled person reviews. Paul has significant experience leading assurance reviews, implementation projects, reviewing audit and control functions, improving sales processes, conducting back book reviews, monitoring and suitability assessments, delivering robust governance arrangements and establishing effective processes and controls.

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 adds new partner to strengthen financial services risk assurance capability
David Fenton

Leading audit, tax and consulting firm RSM has appointed Paul Jennings as a financial services risk assurance partner in its London office.

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