There is plenty of theory about how to manage conflicts of interest. There are rules saying what you can and can’t do. The really practical stuff about how you should go about managing conflicts of interest in your business is…
__________________________________________________________ Dina Devalia Managing Director, Quantuma Link to Dina’s profile M: +44 (0)7557 419 361 E: dina.devalia@quantuma.com
Check out the latest edition of PIMFA – Personal Investment Management & Financial Advice Association‘s “Journal”, featuring Emily Wright, our Surveillance specialist at Leaman Crellin. Emily shares her expertise on E-Communications Surveillance, its growing importance within financial institutions, as well as the obstacles…
As part of our growth strategy, we’re delighted to announce the appointment of two new members to the Leaman Crellin Consultancy team. David Stuart joins us as Principal Consultant, and Neil Makwana joins as Principal Compliance Consultant. David and Neil will work alongside Katharine Leaman and…
A robust compliance risk assessment isn’t just about identifying risks—it’s about understanding how to manage them effectively and demonstrating you have thought about potential scenarios and planned how to control their effects. From my experience, successful assessments rely on honesty, precision, and a prevention-first…
A Regulatory and Compliance Perspective in the UK Financial Services Sector In an era marked by technological advancements, regulatory scrutiny, and increasing market volatility, the concept of operational resilience has taken centre stage within the UK financial services sector. For those…
Key Takeaways Implementing a Robust TPRM Program With the stakes so high, creating a robust TPRM program is not just advisable; it’s imperative. This involves developing a framework that clearly defines the roles and responsibilities of all parties involved, and…