Blog listing page

ECCTA Fraud Risk Analysis - Approach Considerations

Conducting a robust fraud risk analysis requires managers to define an appropriate scope, develop a comprehensive understanding of resources, business processes, and activities, estimate the likelihood and impact of risks using an appropriate risk matrix, and align existing controls with identified fraud risk factors. Ultimately, this enables an evaluation of the effectiveness of existing controls to support regulatory compliance.

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Daniel Waltham

Daniel Waltham
Responsible for leading client relationships and new business sales. Dan takes a lead role in customer engagement, identifying, creating and designing solutions to help our customers with risk and regulatory challenges. 13 years of experience working with financial services businesses across risk, compliance, data protection and regulatory change.

Recent Posts

Operational Resilience Outlook - Internal challenges to consider

In my last blog, I discussed a few external indicators that should be considered in the transition period in order to build a mature view of resilience.

Topics: Investment & Asset Management, Insurance Sector

June 23, 2022
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Operational Resilience Outlook - External challenges to consider

Since the FCA and PRA published their Operational Resilience policy statement in March 2021, in-scope financial service firms have spent a lot of time and resources on developing a framework and ...

Topics: Investment & Asset Management, Insurance Sector

June 21, 2022
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Operational Resilience | It's live and direct!

The March 2022 deadline for operational resilience required in-scope firms to:

Topics: Investment & Asset Management, Insurance Sector

May 27, 2022
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Outsourcing & Third-Party Risk Management | The weak resilience link

With the use of third and fourth parties increasing across the financial services sector in the last three years, most firms rely on third parties to support or completely deliver critical processes ...

Topics: Insurance Sector

February 18, 2022
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Outsourcing and Third-Party Risk - Understanding your Fourth parties

Managing third-party risk is high on the priority list for financial services firms in 2021, and for PRA regulated firms, the added requirement to comply with the new regulatory regime (SS2/21) means ...

Topics: Insurance Sector, Retail Finance

July 12, 2021
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The FCA's Payments & E-Money wind-down guidance- One year on

The continued fallout involving the payments processor, Wirecard, serves as a timely reminder of the prudential regulatory requirements that came into effect for the UK Payments sector, almost a year ...

Topics: Insurance Sector, Retail Finance

July 2, 2021
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Operational Resilience - 52% of Firms not getting Board Buy-In

With the FCA and PRA's deadline now defined for Financial Services firms to comply with the new Operational Resilience Policy Statement, financial services firms are indicating that they struggle to ...

Topics: Insurance Sector, Retail Finance

June 17, 2021
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Operational Resilience- Main Learnings to Date

Intro On 29 March 2021, the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) published their Policy Statements which include the final rules that in-scope firms will be ...

Topics: Insurance Sector, Retail Finance

May 25, 2021
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