The FCA is increasingly emphasising Risk Frameworks as part of its expectations of firms’ governance, systems and controls. Under proposed rules, the FCA can request any firm to submit its risk-based assessment of adequate financial resources for review.
On the 5th of December 2019, Complyport held the third of its Risk Adequacy presentations. Richard Revill (Complyport) and Gerard Joyce (CalQRisk) looked at how to embed a risk management framework and attendant processes within a firm. The webinar covered application of a Plan-Do-Check-Act system of management along with arrangements for managing both Risk and Compliance.
Complyport is happy to announce that we have now uploaded the webinar for everyone to listen to and learn from.
