Blog listing page

Digital Resilience for Financial Services Firms | What is DORA?

The European Commission published a legislative proposal for a regulation on Digital Operational Resilience in the EU financial services sector ("DORA") back in September 2020. In parallel, the Bank of England (BoE), the Prudential Regulatory Authority (PRA) and the Financial Conduct Authority (FCA) have published new policies that set out requirements for regulated entities in relation to outsourcing and operational resilience

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Regulatory Compliance Roles | Salary Benchmark Report & Key Challenges

We have just released our 2021 Compliance Roles Salary Benchmark report for the UK. The report also highlights the latest challenges facing leaders managing regulatory compliance, financial crime, ...

Topics: Featured, Client Assets (CASS), Banking, Financial Crime, Flexible, Talent Solutions, Vulnerable Customers

March 10, 2021
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CASS firm-wide Knowledge & Awareness - Online Learning Platform

In 2008, the collapse of the Lehman Brothers sent shockwaves around the world and re-defined the regulatory landscape for years to come.

Topics: Client Assets (CASS), Learning

February 17, 2021
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Key takeaways | FCA Payments & E-Money safeguarding & wind-down webinar

On 21 January, the Financial Conduct Authority (FCA) delivered a Payments & E-Money: safeguarding & wind-down webinar to compliance consultants which included some significant points that ...

Topics: Featured, Client Assets (CASS), Investment Management, Banking, Prudential regime

January 21, 2021
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PRA reveal their six priorities for UK deposit takers in 2021

As calendars are prepared to be turned over to 2021, the PRA have set out their priorities for the upcoming year for UK deposit takers in a letter to CEOs. Whilst there are no real surprises given ...

Topics: Featured, Client Assets (CASS), Risk Management, Investment Management, operational resilience

December 15, 2020
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CASS: Effective Record Keeping and Reconciliation Management

There are many things that can keep a CF10a up at night.

Topics: Featured, Client Assets (CASS)

February 26, 2020
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A Strategic Regulatory Management Limited briefing note on SMCR

Ian Stevenson, Managing Consultant at Strategic Regulatory Management Limited gives his perspective on the UK Senior Managers and Certification Regime (SMCR) which comes into play in December.

Topics: Client Assets (CASS), Risk Management, Investment Management, Flexible, Talent Solutions, SMCR

November 18, 2019
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Who you should hire today to meet tomorrow's risks and regulations

FourthLine's Director of Talent Services, Dan Waltham discusses 8 essential areas companies should recruit for now in order to ensure future effective risk and regulation management.

Topics: Featured, Client Assets (CASS), Legal, Risk Management, Investment Management, Professional Services, Technology Media and Telecoms, Talent Solutions

November 11, 2019
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8 Reasons to consider a different recruitment solution

FourthLine Director Dan Waltham discusses the merits of looking beyond contingent as the only recruitment solution.

Topics: Insider, Client Assets (CASS), Risk Management, Investment Management, Banking, Consumer, Technology Media and Telecoms, Talent Solutions

November 8, 2019
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