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…
Blowing the whistle on bad conduct
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: 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?…
Launch of The Happiness Programme – a new Wellbeing & Resilience initiative
We are pleased to introduce a new Wellbeing & Resilience initiative: the Happiness Programme Our research across many clients in…
Launch of our Compliance Mentoring Programme
Eiger Regulatory Partners – Compliance Mentoring Programme We are delighted to announce the launch of our Compliance Mentoring Programme.…
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…
FCA Approach to authorisation of International Firms: an overview of the key requirements
The FCA has published its approach to the authorisation and supervision of international firms. The ‘approach document’ is relevant to all…
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…
Non-Executive Directors with Compliance expertise – a necessity or nice to have?
Do the Boards of UK Financial Services firms have appropriate Compliance, Conduct and Financial Crime Compliance experience? Senior Compliance…
Coaching Will Take Your Leadership to the Next Level – Here’s How
Tanya Brandt has been in leadership roles within Investment Banking for 14 years, during which time she has led…
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…
The essential DNA of an effective MLRO
Exploring the personal qualities which help shape the most effective Money Laundering Reporting Officers Financial Crime as a function…
Non-Executive Directors with Compliance expertise – a necessity or nice to have?
Do the Boards of UK Financial Services firms have appropriate Compliance, Conduct and Financial Crime Compliance experience? Senior Compliance…
The essential DNA of an effective Compliance Officer
Exploring the personal qualities which help shape the most effective Compliance Officers I met my first Compliance Officer in…
Strengthening emotional wellbeing for Compliance and Risk Professionals
This article has been written by James Ritchie (former investment banking and wealth management Compliance MD) and Jon-Bockelmann-Evans (Emotional…
LIBOR Transition Conduct and Compliance Risk Management
Do you fully understand the LIBOR Transition conduct and compliance risks during conversion? The UK regulators have set clear…
Try looking at your CV as if painting a self-portrait
There are very choppy waters out there and best to be organised. The CV is often said to be…
“Oh, mercy mercy me Oh, things ain’t what they used to be” Marvin Gaye 1939-1984
These lyrics, written and originally sung in 1971 by the late Marvin Gaye about the environment, resonate with where…
“No plan survives contact with the enemy” Moltke, 1800-1891
As we confront and battle to defeat the awful COVID-19 disease whilst each of us is doing our best…
LIBOR Transition: provision of technical compliance support in managing Conduct and Compliance Risk
We can provide immediate help to firms who need dedicated Conduct and Compliance SME’s to help drive the development…
How to Cope During the Coronavirus Crisis
The current global healthcare crisis is one that is affecting many millions of people. Some are dealing well with…
Our COVID action plan
As a result of the outbreak and spread of COVID-19, Eiger Regulatory Partners is monitoring closely the advice and…