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 session 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 session for everyone to listen to and learn from. You can find the recording of the session below. The downloadable slide deck can be viewed here.
Risk Adequacy Series
Missed the 2 previous sessions in the Risk Adequacy series? You can catch up on the links below.
https://stage.complyport.com/complyport-calqrisk-risk-adequacy-webinar-recording/
https://stage.complyport.com/risk-adequacy-assembling-the-building-blocks/
