Navigating Evolving Risks on the Regulatory Horizon

Author

Adam Palmer

Publish Date

Type

Article

Topics

  • Trade & Transaction
  • Compliance
  • ESG
  • Managed Services
  • Regulatory Deadlines
  • Regulatory Technology
  • ComplianceAlpha
  • FCA
  • SEC
  • Cybersecurity
  • RiskMutation
  • Brexit
  • COVID-19
  • GIPS Standards
  • Mirabella

Geopolitical tensions, macro-economic pressures and a global pandemic heralded sweeping changes to the ways financial services firms have operated over the past 12+ months.

Financial services firms have already faced challenging 2021, thanks to unprecedented levels of regulatory change, continuing fallout from the COVID-19 pandemic, and a rapidly mutating ecosystem of risks. This disruption is set to make the year ahead no less challenging as we navigate the future of risk and compliance and respond to rapidly evolving circumstances.

To discuss these issues, we recently held our European Regulatory Horizon 2021 as a virtual conference, which saw more than 700 people register to attend ten virtual sessions, held over the course of the three days. Designed to examine the future of risk and compliance and how to navigate rapidly evolving circumstances, the event included insightful sessions and engaging conversations from compliance, cyber, regulatory technology, ESG and performance experts, leading lawyers, and industry practitioners.

We’ve produced a whitepaper that captures the key takeaways from the conference, with supporting poll findings, peer analysis and embedded links to on demand recordings of the individual sessions for easy access to gain more detail. 

Topics include:

  • UK Regulatory Regime Post Brexit
  • Are You Ready? ESG Regulatory Developments 2021 and Beyond
  • Navigating Evolving Risks: The Future of Risk and Compliance Programmes in an Age of RiskMutation™ 
  • Outlook for the UK’s Investment Firm Prudential Regime (IFPR) 
  • LIBOR Transition: Almost There
  • Key Issues for Private Market Managers
  • The GIPS® Standards and Performance, a Year in Review
  • Lessons from the Trade and Transaction Reporting Frontline 
  • Looking Ahead: A Review of FCA & SEC Priorities and What to Focus on in 2021

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How we help

We have a wide range of services and solutions to help you with the regulatory challenges addressed in this paper. Complete this form or call +44 (0) 20 7042 0500 to connect with us.  Our services include:

  • Brexit: Our solutions are designed to help global firms find solutions to continue to access the UK markets. 
  • ESG: Our dedicated advisory practice helps firms of all sizes develop and monitor ESG programs to mitigate risk, make informed choices, grow profitably and sustainably, and combat greenwashing in the process.

     

  • Investment Firm Prudential Regime (IFPR): Our experienced prudential team are on hand with a wide range of solutions designed to help make your regulatory reporting obligations as simplified and seamless as possible.

     

  • LIBOR: We can assist you in devising your LIBOR transition plans, assessing and reviewing  your firm’s reliance and usage of LIBOR, or performing a gap analysis review of your transition work to date. 
  • GIPS Standards and Performance: We have the largest team in the world providing GIPS standards verification and related services to investment managers around the globe.

     

  • Trade and Transaction Reporting: Our specialists are on hand to help your firm identify failings in the completeness, accuracy, and timeliness of your trade and transaction reports.  Click here to book a free transaction reporting review to help identify problems in your regulatory reporting before the regulator does.