Risk Management

Wealth managers are struggling to find MiFID II compliant solutions that accurately assess client risk suitability and ESG sustainability preferences whilst meeting the regulation, according to a report from behavioural finance specialists Oxford Risk.

Schroders Personal Wealth (SPW), the joint venture between Lloyds Banking Group and Schroders, has partnered with AI fintech Aveni to transform its compliance function.

The management team of global investment consultancy bfinance has undertaken a buyout of the firm, with the purchase of a 51 percent stake formerly held by venture capital investor Baird Capital.

The UK government has announced plans to regulate cryptoasset activities, aiming to provide clarity and protection for consumers and businesses alike.

Mirabaud has appointed Patrick Hauri as global head of risk and compliance.

The Swiss financial regulator FINMA has outlined its expectations surrounding climate-related financial risk management.

WWF has launched its ‘biodiversity risk filter’ - a new tool to help companies and investors better understand their impacts and dependencies on nature.

Once again, climate change was the primary focus of environmental, social, and governance (ESG) discussions this year. And the next year is unlikely to be any different.

The Financial Conduct Authority (FCA) has proposed new measures to clamp down on illegal, unfair or misleading financial marketing.

The Swiss Financial Market Supervisory Authority FINMA has analysed how the largest banks and insurance companies disclose their climate-related financial risks in accordance with the FINMA disclosure circulars.