Insights
Front Office Control Framework: A Current Perspective on Asset Management Industry Best Practices
Front office controls has emerged as a hot topic in 2024 and promises to be an area of continued focus in 2025 in response to increased regulatory scrutiny. In the following article we explore what good looks like and how to approach building a market leading FOCF.
Read MoreProduct Master Series – Building a Business Case
Mastering fund and product data is not just about operational efficiency; it’s fast becoming a regulatory imperative. It is becoming increasingly apparent that a mature data master is critical to meet everchanging regulatory requirements.
Read MoreOperational Resilience Update – Vulnerabilities and Remediation
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
The Role of Regulatory Horizon Scanning within the Investment Management Regulatory Change Operating Model
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
Read MoreISC Regulatory Change Forum – June 2024
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.
Read MoreOperational Resilience Update – Scenario Testing
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
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