Regulatory

Under Operational Resilience, a firm’s mapping and scenario testing should identify vulnerabilities that may prevent them from remaining within impact tolerance for severe but plausible scenarios.
Firms should have significantly advanced remediation activities for these vulnerabilities to ensure compliance by 31 March 2025. Remediation plans must be approved, fully funded, and well-governed, with closure evidence provided through repeated scenario tests to verify resolution

This article looks at how a regulatory horizon scanning solution fits into the regulatory change operating model and supports investment managers in meeting their regulatory obligations and strategic business objectives

We are excited to share the success of ISC’s latest Regulatory Change Forum, where Jonathan Boswell and Patrick Ralison FCCA, MSc. presented our horizon scanning and discussed major issues impacting the evolving regulatory landscape.

Under Operational Resilience, firms must develop and maintain robust testing plans to ensure they remain within impact tolerances for each important business service. These plans should identify severe but plausible scenarios across various adverse conditions, reflecting risks and vulnerabilities. This information is crucial for a firm’s governing body and senior management to develop well-funded plans to address vulnerabilities

In today’s rapidly evolving regulatory landscape, investment managers face a complex web of compliance requirements that can significantly impact their operations. Regulatory horizon scanning has emerged as a critical practice to help organisations stay ahead of potential regulatory changes and ensure continued compliance. This article explores why, here at Investment Solutions Consultants (ISC) Ltd, we strongly believe that a robust approach to regulatory horizon scanning is essential and why the reporting produced must be tailored and focused to meet specific customer requirements

If you are an Asset Manager investing in ESG strategies, the chances are you will have a strong governance model over determining what represents an ESG investment in line with the strategy for which you are investing

If you are an Asset Manager investing in ESG strategies, the chances are you will have a strong governance model over determining what represents an ESG investment in line with the strategy for which you are investing

Under Operational Resilience, firms must identify and document the people, processes, technology, facilities, and information essential for delivering important business services, including any third-party relationships that could affect impact tolerance

ISC has written an insightful article on the Regulatory ESG Challenges Faced by Asset Managers.

Around 530 million years ago, multicellular life burst onto the scene on Earth. Having been single celled for two billion years, this explosion of multi-cellular creatures became known as the “Cambrian Explosion.” In the evolutionary blink of an eyelid, life went from a few different types of single-celled organisms to a huge variety of diverse

Under Operational Resilience, firms must set impact tolerances for important business services and regularly review them. The FCA findings recently highlighted a variety of impact tolerances with limited rationale on what constitutes intolerable consumer harm or risks to market integrity, necessitating further clarification