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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.

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.

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.

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.

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 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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