Risk Management, MiFID II, Compliance

UK Financial Markets Standards Board updated final statement of good practice for front office supervision of wholesale traded...

A&O Shearman on 1/15/2025

The Financial Markets Standards Board has published its updated final statement of good practice for front office supervision of wholesale traded markets. The statement of good practice sets out 15 good practice statements,...more

EU DORA: Are you in scope, and if so, how can you prepare?

King & Spalding on 12/23/2024

The Digital Operational Resilience Act (DORA) establishes a harmonised and comprehensive framework for information and communication technology (ICT) risk management in the financial sector. It is a directly applicable EU...more

Initial guidance on the use of AI in the provision of investment services

Walkers on 6/25/2024

With the Regulation on Artificial Intelligence (the "AI Act") entering into force in due course, following its publication in the Official Journal of the EU, there has been an increasing focus of supervisory bodies to provide...more

What You Need To Know Before Starting an ETRM System Implementation Process

Opportune LLP on 10/24/2019

Find out everything you need to know before starting an ETRM system implementation. Over the last two decades many energy companies that engaged in the purchase and sale of commodities as a matter of course in transacting...more

Fergus Allan on GRC in the UK & USA in 2019

Mitratech Holdings, Inc on 1/30/2019

We recently shared the opinions of 11 GRC experts on what developments to track in 2019. One of them, Fergus Allan of TORI Global, now provides more dimension and detail to his interesting outlook on what lies ahead....more

Dodd-Frank at 4: Where do we go from here?

Morrison & Foerster LLP on 8/6/2015

Where do we go from here? As we mark another milestone in regulatory reform with the fourth anniversary of the enactment of the Dodd-Frank Act, it strikes us that although most studies required to be undertaken by the Act...more