FCA continues to double down on Crypto-Asset firms
A recurring theme when speaking to CCOs and MLROs at UK-based crypto-asset firms is that global regulators are not…
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ESG team – where in the Org Chart?
The ESG team – where best should it be located in a firm? Environmental, Social, Governance – three words…
Eiger Regulatory Partners forms alliance with UAE-based SYG Consulting
Eiger Regulatory Partners forms alliance with UAE-based SYG Consulting. Eiger Regulatory Partners is delighted to announce an alliance with…
Are prevailing winds once again to blow from the SEC?
Are prevailing winds once again to blow from the SEC? Gary Gensler, as expected, was sworn in last month…
Regulators are definitely back in business pushing ahead on tackling climate change: are you up-to-date and on track?
Regulators are definitely back in business pushing ahead on tackling Climate-change Risk Management: are you up-to-date and on track?…
Memo to Compliance Officers: 6 practical steps to reinvigorate your compliance function post-pandemic
With an increasingly full and complex in-tray, a challenging operating environment, how do you plan to reinvigorate your compliance…
New Sheriffs in town at Global Financial Regulators
With new chiefs having recently arrived and indeed being soon to join several global financial regulators, one thing can…
Chief Compliance Officer COVID Survey: key risks & strategic issues
With what is looking like a protracted lock-down and a continuation in remote working for 6 months we thought…
Does your Compliance Training programme need a health check?
David Bernardi has over 20 years of Compliance training experience working at investment banks such as Credit Suisse, BNP…
Climate change: conduct and compliance risks
This is the first in a series of articles looking at the regulatory and compliance implications of climate risk…