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…
A recurring theme when speaking to CCOs and MLROs at UK-based crypto-asset firms is that global regulators are not…
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 is delighted to announce an alliance with…
Are prevailing winds once again to blow from the SEC? Gary Gensler, as expected, was sworn in last month…
There are increased noise levels of late coming out of the FCA. First the news earlier this month that…
Regulators are definitely back in business pushing ahead on tackling Climate-change Risk Management: are you up-to-date and on track?…
We are pleased to introduce a new Wellbeing & Resilience initiative: the Happiness Programme Our research across many clients in…
Eiger Regulatory Partners – Compliance Mentoring Programme We are delighted to announce the launch of our Compliance Mentoring Programme.…
With an increasingly full and complex in-tray, a challenging operating environment, how do you plan to reinvigorate your compliance…
With new chiefs having recently arrived and indeed being soon to join several global financial regulators, one thing can…
The FCA has published its approach to the authorisation and supervision of international firms. The ‘approach document’ is relevant to all…
With what is looking like a protracted lock-down and a continuation in remote working for 6 months we thought…
David Bernardi has over 20 years of Compliance training experience working at investment banks such as Credit Suisse, BNP…
Do the Boards of UK Financial Services firms have appropriate Compliance, Conduct and Financial Crime Compliance experience? Senior Compliance…
Tanya Brandt has been in leadership roles within Investment Banking for 14 years, during which time she has led…
This is the first in a series of articles looking at the regulatory and compliance implications of climate risk…
Exploring the personal qualities which help shape the most effective Money Laundering Reporting Officers Financial Crime as a function…
Do the Boards of UK Financial Services firms have appropriate Compliance, Conduct and Financial Crime Compliance experience? Senior Compliance…
Exploring the personal qualities which help shape the most effective Compliance Officers I met my first Compliance Officer in…
This article has been written by James Ritchie (former investment banking and wealth management Compliance MD) and Jon-Bockelmann-Evans (Emotional…
Do you fully understand the LIBOR Transition conduct and compliance risks during conversion? The UK regulators have set clear…
There are very choppy waters out there and best to be organised. The CV is often said to be…
These lyrics, written and originally sung in 1971 by the late Marvin Gaye about the environment, resonate with where…
As we confront and battle to defeat the awful COVID-19 disease whilst each of us is doing our best…
We can provide immediate help to firms who need dedicated Conduct and Compliance SME’s to help drive the development…
The current global healthcare crisis is one that is affecting many millions of people. Some are dealing well with…
As a result of the outbreak and spread of COVID-19, Eiger Regulatory Partners is monitoring closely the advice and…