Financial Services Regulatory Change Horizon Scanning
20 April 2023
The financial services industry is highly regulated and constantly evolving. Regulatory changes have a significant impact on the operations, risk management, and compliance obligations of financial institutions. Therefore, it is essential for financial institutions to stay ahead of regulatory changes and anticipate their potential impact. Regulatory change horizon scanning refers to the process of identifying and analyzing upcoming changes in laws, regulations, policies, and guidelines that may impact the financial services industry. This briefing paper provides an overview of regulatory change horizon scanning for financial services.
The PRA SS2/21 Outsourcing: Untangling the Rules
1 May 2023
The PRA SS2/21 Outsourcing Rules provide a framework for financial institutions to manage outsourcing arrangements effectively. The rules apply to all PRA-regulated firms, including banks, building societies, insurers, and designated investment firms.
Performance Measurements: Beyond the Acronyms
28 February 2023
Organisations use various types of indicators to measure their performance, mitigate risks, and ensure that controls are in place to manage risks effectively. In this SG Insights, we explain the relationship between Key Performance Indicators (KPIs), Key Risk Indicators (KRIs), and Key Control Indicators (KCIs).
UK SOx Compliance: Ensuring Effective Financial Reporting and Transparency
30 April 2023
UK SOx (Sarbanes-Oxley) is a legislation that ensures effective financial reporting and transparency in businesses operating in the United Kingdom. It requires companies to establish internal controls, have an independent auditor review their financial statements, and face penalties for non-compliance.
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