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24 Aug 2019 — Norman Marks Feed

There’s an interesting article in the Harvard Law School Forum on Corporate Governance and Financial Regulation. What the Capital One Hack Means for Boards of Directors has some interesting insights that merit the attention of risk, cyber, audit, and governance practitioners. Much of the article is useful background information for board members, in particular the […]

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24 Aug 2019 — Norman Marks Feed

Join me and 35 other amazing speakers at the Risk Awareness Week 2019. It will be broadcast online at https://2019.riskawarenessweek.com from 14 to 18 October 2019. Risk management is much more than having a risk appetite statement and policy, doing risk assessments once a month, and reviewing a list of top risks with executive management […]

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23 Aug 2019 — Financial Conduct Authority Feed

We believe this firm has been providing financial services or products in the UK without our authorisation. Find out why to be especially wary of dealing with this unauthorised firm and how to protect yourself from scammers.

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23 Aug 2019 — Financial Conduct Authority Feed

Claims management companies (CMCs) must do more to ensure their promotions do not mislead potential customers according to the Financial Conduct Authority (FCA). Since the FCA took over regulation of CMCs on 1 April 2019 it has reviewed over 200 CMC adverts in various media and found widespread poor-practice in CMCs.

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23 Aug 2019 — Financial Conduct Authority Feed

Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this ‘clone firm’. 

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22 Aug 2019 — Chris Niccolls Feed

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22 Aug 2019 — DRS Ltd Feed

US regulators have disclosed the much awaited revision of the Volcker Rule that had been taken on by the Trump administration. Wall Street has undoubtedly received a huge win, but who is likely to bear the losses?

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22 Aug 2019 — Energy Trading Regulation Feed

Following the announcement of a $16m settlement for market manipulation in wheat futures in the US earlier this week (see here), the CFTC has withdrawn the press release. This article on the Lexology web site by  Gary DeWaalKatten of Muchin Rosenman LLP  explains that the defendants enforced an agreement not to publicise the details of … Continue reading

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22 Aug 2019 — Financial Conduct Authority Feed

With one in five Brits reporting they’ve left making a decision to the last minute and with a week to go to the PPI complaints deadline, the time for decision-making is now.

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21 Aug 2019 — Chris Niccolls Feed
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21 Aug 2019 — Financial Conduct Authority Feed

Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this ‘clone firm’. 

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21 Aug 2019 — Financial Conduct Authority Feed

We believe this firm has been providing financial services or products in the UK without our authorisation. Find out why to be especially wary of dealing with this unauthorised firm and how to protect yourself from scammers.

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1 View