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