Insights

UK host authorised fund managers (aka ACDs) fall short on governance standards according to FCA

Last year, the FCA registered some major limitations in the governance structures, conflicts of interest management and operational controls

Leading US Broker Dealer challenger used ControlNet to strengthen its governance capabilities

A leading US challenger brokerage has chosen ControlNet's end-to-end risk and control management system to strengthen its governance and sup

FCA warning: UK financial services companies lack adequate governance systems and controls

FCA has issued a series of warnings to financial services providers in the UK about the lack of adequate governance systems and controls.

CBUAE issues new AML regulation for licensed financial institutions (LFIs)

CBUAE has issued a new anti money laundering and financial terrorism regulatory guidance for licensed financial institutions (LFIs).

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