The Basel Accords, issued since the late 1970s by the Basel Committee on Banking Supervision, have continuously evolved, leading to the final Basel IV standards, also known as Basel 3.1, published in December 2017. New Link Consulting kicks off a series of articles exploring the journey from Basel I to Basel IV, addressing potential regulatory divergence and major impacts on the financial industry.
With the Consumer Duty coming into force on 31st July it is important for impacted firms to not see this as the finishing line, but rather the start of a continuous process to support and enhance customer outcomes.
Understanding where compliance risks are lurking in your business, and whether or not the controls in the first and second lines of defence are effectively mitigating those risks is of critical importance to Compliance Heads and Senior Management.
An in depth insight review into the challenges of client transitions between platforms and the services offered by New Link Consulting.
On the morning of the 24th June 2016, the EU woke up to the news that voters in the UK had narrowly voted in favour of leaving the European Union.
Implementing Mifid II from regulatory interpretation through to compliance.
A discussion on effective control frameworks to mitigate inappropriate activity.
Insight into how New Link Consulting can help your business establish an effective PMO function.
The importance of knowing your customer and how to interpret the regulation.
