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Tag: Risk management
The FCA’s sanctions review and why it demands urgent firm action
The FCA's latest sanctions review, spanning more than 150 firms, is far more than another best-practice publication.
According to ACA Group, it signals how...
FCA trims SM&CR: streamlining or a new culture risk?
The FCA and PRA have confirmed a package of changes to the Senior Managers and Certification Regime (SM&CR), reducing the number of certified persons,...
How complacency blinds firms to financial crime threats
Most financial crime failures are not born of dramatic collapse or blatant negligence. Instead, they build slowly through hundreds of minor decisions, ignored warning...
PEP screening pitfalls that expose FinTech compliance teams
A politically exposed persons check (PEP check) sits among the most consequential controls in any AML compliance programme. Done well, it surfaces elevated risk...
Why AI is testing the limits of financial crime controls
The rapid adoption of generative and agentic AI is forcing financial services firms to reconsider whether traditional information barriers remain effective in a world...
Which sector is really winning the compliance race?
Compliance has moved from a back-office function to a strategic priority across every regulated industry, yet no two sectors are grappling with identical pressures.
According...
Why venue rulebook blind spots threaten trading growth
Electronification is gathering pace across capital markets, and with it the proliferation of trading venues, from DLT-based platforms to crypto exchanges. But this progress...
The hidden risk of all-in-one compliance platforms
Financial services firms are becoming larger, more complex and increasingly interconnected, but that does not necessarily mean their compliance technology should follow the same...
US companies dominated top global FinTech deals in Q2 as investments...
Key global FinTech investment stats in Q2 2026: Global FinTech investments grew 34% YoY in Q2
US companies secured three of the top 10...
Why stress testing scenarios fail audits, and Kidbrooke’s fix
Risk teams building stress testing frameworks often hit the same wall, according to Kidbrooke. They hold a credible macroeconomic baseline, whether from a national...
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