The Rise of Fractional CIOs
Articles, research and insights.
Article - 3 minutes read
SMCR compliance for solo-regulated firms
The Senior Managers and Certification Regime (SMCR) rollout is continuing, with solo-regulated firms falling under its scope from 9 December 2019.
Article - 7 minutes read
OCC Guidance on Third Party Risk Management Practices
In June, the OCC updated their guidance on third party risk management to address the growing number of bank-fintech relationships.
Article - 5 minutes read
When FINRA asks to speak to your Supervisor…
FINRA requires all broker-dealers to have a supervisory framework in place that is “reasonably designed” to comply with applicable rules and regulations.
Article - 5 minutes read
REG W(hat)?
Over a decade ago, the Federal Reserve Board (FRB) adopted and implemented Regulation W (Reg W). Since then, much has changed in the Banking world, and for many institutions, and even the Regulators, Reg W took a back seat to newer, more pressing regulations.
Article - 3 minutes read
AI to optimize Compliance activities
In the context of increasing compliance challenges, AI and RegReview facilitate and accelerate regulatory monitoring and compliance.
Article - 6 minutes read
RING-FENCING: The Challenges Facing UK Banks
What is the purpose of the new ring-fencing rules and what do they include?