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Tag: risk management

Showing 12 out of 13 results

07 November 2023

Insights on outsourcing and other lessons from a data breach - the UK FCA perspective

19 February 2021

#OperationalResilience Asia Webinar: How to Manage and Prevent Disruptive Digital Events

19 February 2021

FCA publishes technology change management review

24 November 2020

FSB consults on regulatory and supervisory risks with financial sector outsourcing and third-party relationships

14 September 2020

Industry codes: the regulatory and litigation risks and how to mitigate them in practice

16 March 2020

HKMA publishes supervisory expectations and sound practices relating to algo trading following thematic examinations

On 6 March 2020, the HKMA issued a circular setting out its expectations on risk management for algorithmic (algo) trading, as well as sound practices …

29 July 2019

Cryptoassets: Personal account dealing policies and procedures

20 June 2019

Cryptoassets – what should the second line of defence be focussing on?

04 June 2019

Crypto asset compliance in an uncertain regulatory environment

19 November 2018

Hong Kong SFC commences thematic review of risk governance and oversight frameworks, including assessment of risk management MICs

Last Friday, the SFC announced (via a circular) that it had commenced a thematic review of selected licensed corporations (LCs) to assess their risk …

01 August 2018

HONG KONG'S ANTI-GRAFT COMMISSIONER WARNS OF CORRUPTION ON BELT AND ROAD

The head of Hong Kong's Independent Commission Against Corruption (ICAC) has warned local investors to beware of rampant corruption in some Belt and Road …

12 May 2015

The Board’s responsibility to manage risk: key legal and compliance issues – a disputes perspective

At this recent conference, held by Herbert Smith Freehills and attended by close to a hundred clients, we explored some key legal and compliance risks …