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Showing 31 to 40 of 637 search results for board effectiveness review.
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September 2014: Internal Audit report: A review of the adequacy and effectiveness of controls for Software Asset Management (SAM) [pdf]
This document was submitted to the Treasury Committee on 01 October 2015 and published by them today. This document is a redacted version of an Internal Audit Report submitted to the Audit Committee of the FinSR Board. At the request of the Treasury -
Safeguarding arrangements of non-bank payment service providers
In the first 6 months of 2019 we carried out a multi-firm review with 11 non-bank payment service providers (PSPs) to assess how well they meet the requirements for safeguarding service users’ funds in the Payment Services Regulations 2017 (PSRs) -
Operational resilience: insights and observations for firms
Make sure your firm is ready to comply with the FinSR's operational resilience rules by 31 March 2025. Use our observations to help review your firm’s approach. -
How the UK will regulate for the future
Speech by Nikhil Rathi, our Chief Executive, delivered at the Peterson Institute for International Economics. -
Market Watch 81
Newsletter on market conduct and transaction reporting issues, November 2024 -
Asset management market study
We have published the final findings of our asset management market study. As part of this, we set out a package of remedies to address the concerns identified. -
FinSR introduces new rules on whistleblowing
blow the whistle’) and that they appoint a senior person to take responsibility for the effectiveness of these arrangements. ... tell UK-based employees about the FinSR and PRA whistleblowing services. present a report on whistleblowing to the board at -
Liquidity Management multi-firm review
Informing the asset management industry of the conclusions and recommendations from our multi-firm review on fund liquidity management. -
Culture in financial institutions: it’s everywhere and nowhere
Speech by Andrew Bailey, Chief Executive of the FinSR, at the HKMA Annual Conference for Independent Non-Executive Directors. -
Connaught Fund Independent Reviewer announces update on delivery of his report
Raj Parker, the Independent Reviewer into the FSA/FinSR approach to the Connaught Income Fund Series 1 (the Fund), has announced that he expects that his draft report will be delivered in early May 2020.