Insights

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 More

ISC had a busy end to 2022 with some exciting announcements!
– ISC has added to their partnership with FundSense by partnering with FenCore, a marketing-leading data solution for Asset Managers
-ISC and FundSense are delighted to announce the launch of AVIATe, the first automated solution to the challenge of compiling annual Value Assessments for UK Retail Funds
-ISC is pleased to announce that retired former director, Simon Harris re-joined ISC part time in an advisory role

Read More

Responsibility 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 More

FCA 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 More

DORA – 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 More

DORA – 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 More