The Institute of Operational Risk Scottish Chapter is pleased to offer IOR members the opportunity to join, free of charge, a webcast organised by the Chartered Institute for Securities & Investment.
With the extension of the Senior Manager & Certification Regime to all regulated firms in December, there are lessons firms can take from the banking sector who have been subject to the regime since 2016. Notably, that whilst meeting the December deadline is an understandable priority, the real heavy lifting comes in the ongoing management and compliance of the regimes.
• Overall awareness and understanding of SM&CR
• The practical experience of the banking sector having already implemented SM&CR
• The role technology can play in helping firms to implement the regimes
Panel of speakers:
• Andrew Otter, Manager of Accountability, FCA
• Victoria Swaysland, Programme Director for Senior Managers, Certification & Conduct Regime & Structural Reform, Barclays
• Richard Walsh, Associate Partner Banking and Capital Markets, EY
• Carl Redfern, Compliance Director, Redland
Simply send details of your name, company and email address to email@example.com by close of business on Friday 5th April.
Date for your diary:
The next event event from the IOR Scotland will be on the morning of Thursday 9th May: “Operational Resilience”. More details will be published shortly.
The Central Bank of Ireland is applying new consumer protection legislation to ensure that hire purchase, consumer hire, and buy now, pay later providers and services adhere to new rules under the direct authorisation of the Central Bank.
BitMEX, one of the world’s largest crypto trading platforms, has announced the launch of the BitMEX Spot Exchange for retail and institutional traders as the company looks to expand its product offering.
This Risk.net survey report explores the current state of risk controls in investment banks, the challenges of effective engagement across the three lines of defence, and the opportunity to develop a more dynamic approach to first-line risk control