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MiFID II Transaction Reporting: Be in Control
White papers
White papers
05 Mar 2018

MiFID II Transaction Reporting: Be in Control

Like many other regulations coming into force in the next 36 months, MiFID II is calling for enhanced monitoring, transparency and control of the end-to-end trade lifecycle.

FRC and the New CASS Audit Regime
White papers
White papers
05 Mar 2018

FRC and the New CASS Audit Regime

In November 2015 the Financial Reporting Council (FRC) published its standard for audit firms on “Providing Assurance on Client Assets to the Financial Conduct Authority” (the “Assurance Standard”). This was in direct response to PS14/9 “Review of the Client Assets Regime for Investment Business” previously issued by the FCA, which in turn led to the comprehensive revision of the Client Assets Sourcebook (CASS).

Don’t Wreck Your Recs – Perfect Your Financial Controls Regime
White papers
White papers
05 Mar 2018

Don’t Wreck Your Recs – Perfect Your Financial Controls Regime

Reconciliations form the foundation of a tightly controlled finance or operations department in any organisation. Transparent, up-to-date and accurate financial data is not just essential for regulators or auditors, but it is increasingly an important tool for the executive branch to shape corporate strategy. However, the process for doing so is often far from perfect.

CASS 7 Client Money – Reconciliations and Reporting
White papers
White papers
05 Mar 2018

CASS 7 Client Money – Reconciliations and Reporting

CASS states that external reconciliations must be undertaken as often as is necessary but at least once a month.

CASS 6 Client Assets – Reconciliations and Reporting
White papers
White papers
05 Mar 2018

CASS 6 Client Assets – Reconciliations and Reporting

CASS mandates that firms must put systems and controls in place to meet their obligations to maintain their records and accounts in a way that ensures their accuracy and in particular their correspondence to safe custody assets held for clients.

5 Steps to Perfecting Your Bank Reconciliation Processes
White papers
White papers
05 Mar 2018

5 Steps to Perfecting Your Bank Reconciliation Processes

The process for doing bank reconciliations is often far from perfect.

The Challenges of Regulatory Reporting
White papers
White papers
05 Mar 2018

The Challenges of Regulatory Reporting

The phrase ‘challenges of regulatory reporting’ means different things to different organisations. There is no doubt that within the financial services sector the speed of change and increase in complexity remains high on the agenda.

Expectations & Experiences: Channels and New Entrants
White papers
White papers
12 May 2017

Expectations & Experiences: Channels and New Entrants

highlights the information financial institutions need to know about where and how to deliver financial services. The results can inform efforts aimed at increasing consumer satisfaction and loyalty. Key findings include:

How Modularity Delivers Fintech Innovation Without a total IT Makeover
White papers
White papers
10 May 2017

How Modularity Delivers Fintech Innovation Without a total IT Makeover

Financial institutions are in a constant race to deliver financial services that match consumers' expectations for faster, more seamless digital experiences.

Specialisation Is the Key to Thriving as a New Entrant in the U.K. Banking Market
White papers
White papers
10 May 2017

Specialisation Is the Key to Thriving as a New Entrant in the U.K. Banking Market

It seems that rarely a week passes without news of another proposed entrant into the U.K. banking market.

Right Technology Key to Understand and Serve the Digital-Savvy Customer
White papers
White papers
10 May 2017

Right Technology Key to Understand and Serve the Digital-Savvy Customer

In an increasingly competitive financial services arena, financial institutions are pressured more than ever to meet the evolving wants and needs of their customers.

Open Banking POV
White papers
White papers
10 May 2017

Open Banking POV

Banking in the U.K. is set to change dramatically with the introduction of new regulations and recommendations from the Competition and Markets Authority and the European Payment Services Directive II (PSD2).

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