Publications

Article 17 Dec 2020 7 minutes read

Gifting Best Practices: ‘Tis the Season to Remain Compliant

Unfortunately, due to COVID-19, firms are operating in uncharted waters in more ways than one. While many of the “normal” things we are used to, such as gift giving, look very different this year, it is still important to remain compliant with all applicable rules and regulations.

Article 09 Dec 2020 6 minutes read

Are recent FATF updates affecting your customers’ risk ratings?

The FATF’s Jurisdictions under Increased Monitoring list is used as a reference for Money Laundering risk by financial institutions all over the world. In this article, we explore its latest update.

Article 09 Dec 2020 5 minutes read

Business Continuity Framework: Protect Your Organization

Does your organization have a resilient BC Framework?

Article 09 Dec 2020 4 minutes read

Your operating model; the elephant in the room?

An organisation’s operating model should the delivery mechanism for who it is and what it is trying to achieve. In reality, it is often caught somewhere between the ghosts of an organisation’s past, present and future; limiting results and inhibiting your people’s efforts to deliver on your strategy

Article 07 Dec 2020 10 minutes read

Broker-Dealer Regulatory Briefing Q3 2020

Despite the COVID-19 pandemic disturbing many normal processes in 2020, regulators have adapted and continued their enforcement activity throughout the year. In this article, we’ve covered key SEC and FINRA enforcement trends observed in the third quarter of the year.

Article 07 Dec 2020 4 minutes read

Now is the time to reimagine planning, budgeting, and forecasting

The current climate of increased uncertainty and volatility is pressing the case to take a fresh look at planning, budgeting and forecasting.