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Showing 41 to 50 of 279 search results for internal audit report.

  1. Alternative investment fund manager (AIFM) hosting

    Firms Published: 25/03/2024 Last modified: 25/03/2024
    Information for AIFMs using the host model to manage alternative investment funds (AIFs), known as AIFM hosting.
  2. IFPR implementation observations: quantifying threshold requirements and managing financial resources

    Multi-firm reviews Published: 27/02/2023 Last modified: 09/03/2023
    Firms should consider these and how they can strengthen their processes.
  3. Retail Banking: Business Continuity Planning

    Multi-firm reviews Published: 11/07/2019 Last modified: 12/07/2019
    We have recently reviewed business continuity planning (BCP) amongst a number of small and medium-sized retail banks, payments institutions and electronic money institutions.
  4. Insights from the Cyber Coordination Groups

    Research notes Published: 11/03/2020 Last modified: 29/04/2021
    Insights from the Cyber Coordination Groups
  5. Ten years after Lehman: how accountants can make finance safer

    Speeches Published: 06/09/2018 Last modified: 25/11/2021
    Speech by Charles Randell, Chair of the Financial Conduct Authority and Payment Systems Regulator on how accountants can make finance safer.
  6. Debating trust and confidence in banking

    Speeches Published: 28/05/2015 Last modified: 28/05/2015
    Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the ResPublica Vocational Banking event in London. This is the text of the speech as drafted, which may differ from the delivered version.
  7. FCA Board appoints new members to the Regulatory Decisions Committee

    News stories Published: 21/08/2013 Last modified: 21/08/2013
    During his time at Deloitte, he was seconded to Schroders Plc as Global Head of Internal Audit for more than ten years.
  8. Asset management portfolio tools

    Firms Multi-firm reviews Published: 13/01/2020 Last modified: 27/10/2020
    This report sets out our review findings of how firms in the asset management sector selected and used risk modelling and other portfolio management tools.
  9. Speech: Culture in UK banking – regulatory priorities

    Insight Published: 18/10/2016 Last modified: 17/02/2017
    and, indeed, in firms’ own internal monitoring) this is often attempted by aiming to create ‘credible deterrence’.This could mean raising penalties for misconduct and/or raising the probability of its ... are given an incentive to report them to
  10. Reforming our capital markets ecosystem

    Speeches Published: 29/03/2023 Last modified: 08/01/2024
    Speech by Nikhil Rathi, our Chief Executive delivered at the Global Investment Management Summit.