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Financial Institutions › Financial Conduct Authority (FCA) › Risk Assessment

A&O Shearman

FCA findings on risk and wind-down planning in payment and e-money firms

A&O Shearman on

The UK Financial Conduct Authority (FCA) has published the findings of its multi-firm review into risk management and wind-down planning across e-money and payment firms. While the FCA had observed examples of good practice...more

Proskauer - Regulatory & Compliance

FCA publishes paper on nature-related risk for financial institutions

Proskauer - Regulatory & Compliance on

The FCA’s Climate Financial Risk Forum has published a paper on “Nature-related Risk: Technical Data Guidance for Financial Institutions” (the ‘‘Paper’’). What does the FCA’s Paper cover?...more

A&O Shearman

UK FCA Financial Crime Guide consultation: more obligations, or old news?

A&O Shearman on

As financial crime compliance pressures grow, the UK Financial Conduct Authority (FCA) continues to emphasise the significance of its Financial Crime Guide (FCG) as part of the overarching regulatory framework for financial...more

Goodwin

Generative AI and Financial Services: A Recent View From the UK Regulator

Goodwin on

In a recent speech, Nikhil Rathi, CEO of the UK Financial Conduct Authority (FCA), set out the FCA’s latest views on the role of artificial intelligence (AI) in financial services. The speech highlights many benefits but also...more

Latham & Watkins LLP

Implementing Technology Change - Successes and Pitfalls in Financial Services

Latham & Watkins LLP on

An FCA report evaluates the chequered implementation of technology change and identifies risks and best practices to help firms better navigate this change. Of the nearly 1,000 “material incidents” reported to the UK’s...more

White & Case LLP

NYDFS Requires LIBOR Transition Plans by Early February

White & Case LLP on

On December 23, 2019, the New York Department of Financial Services (NYDFS) issued an Industry Letter instructing each institution it regulates, including banks and licensed Fintechs, to make submissions describing the...more

Cadwalader, Wickersham & Taft LLP

FCA and Ofgem Question Adequacy of Commodity Firms’ Compliance and Market Abuse Controls

Cadwalader, Wickersham & Taft LLP on

In the most recent edition of its regular market conduct and transaction reporting-focused ‘Market Watch’ publication, the UK Financial Conduct Authority (“FCA”) provides a review of commodities firms’ compliance and...more

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