Regulatory
ISC Regulatory Horizon 2023
On 28th February 2023, the FCA published its Regulatory Initiatives Grid. This contained new as well as existing items, some with indicative dates, and some without.
We at ISC compared the FCA’s grid against our own Horizon Scanning diagram for the Investment Management Industry for 2023/2024 in case any changes needed to be made. Our conclusion
Read MoreResponsibility for Regulatory Change within Asset Managers
How do asset managers identify, assess, prepare for, and implement regulatory change? Who is responsible for each stage, and how do different teams work together to deliver?
Read MoreFCA Findings on IFPR/ICARA Process
It was surprising to read the recent FCA paper on the interim observations around ICARA (Internal Capital Adequacy & Risk Assessment) under IFPR which came into force in Jan 2022. Whilst there must have been some investment firms who have taken the ICARA process seriously, the FCA’s paper feels as if it widely condemns many of the representative firms selected for review so far
Read MoreDORA – 3rd Party Technology Outsource Providers
Further to our recent LinkedIn posts on the EU DORA regulation, we thought it would be useful to outline the plans for dealing with 3rd Party technology outsource providers
Read MoreDORA – Risk Management Framework
Further to our recent posts on the EU DORA regulation, we thought it would be useful to outline the Risk Management Framework that firms should be considering:-
Read MoreDORA – Challenges for Asset Managers
DORA may not be uppermost in the thoughts of Asset Managers, but it is a regulation that cannot be ignored if you carry out business in the EU, or with parties falling into
Read MoreThe Five Pillars of DORA for the Financial Services Industry
Further to ISC’s recent posts on the topic of DORA, and following the ESA briefing to financial services industry participants in early February 2023, here are the five pillars upon which DORA is built and which underpin the
Read MoreImportance of Incident Management for Investment Managers in the Context of the European DORA Regulation
In ISC’s last post on DORA regulation, which briefly described the Cybersecurity Requirements, we mentioned the need to respond to security incidents in a timely manner. Here are further details around that
Read MoreCybersecurity Requirements for Investment Managers under the European DORA Regulation
Following ISC’s recent post on DORA regulation, here is a brief summary of the Cybersecurity Requirements for consideration by Investment Managers
The European DORA Regulation requires companies to implement appropriate measures to secure their networks and systems from cyber threats. This includes measures to prevent unauthorized access to sensitive data
Read MoreISC Regulatory Change Forum 2023
Our forum is a great way to hear about the
common challenges we face.
If you would like to take part in the next Regulatory Change Forum
Read More