Fiona Burke

Mar 1, 2024 | mondaq.com | Rebecca Dulieu |Fiona Burke |Georgia Jones

Leveraging our experience as three ex-regulators we discuss the insights that our different experiences at the FCA have provided and how we translate that to advising clients across the full spectrum of FS work: from risk & compliance advisory through to investigations and enforcement, when navigating their relationship with the regulator.

Jun 8, 2023 | regulationtomorrow.com | Fiona Burke

On 8 June 2023, the Financial Market Standards Board (FMSB) published a Spotlight Review and Risk Register on the 3 Lines Model. The Spotlight Review is designed to help firms in assessing aspects of their holistic risk management frameworks by using the 3 Lines of Defence Model as a lens. As such the Spotlight Review is wider than the traditional concept of the 3 Lines of Defence might suggest.

Jun 8, 2023 | mondaq.com | Simon Lovegrove |Katie Stephen |Haney Saadah |Fiona Burke

Inadequate governance is regularly cited by regulators as a factor which has contributed to the failings of firms. From small firms to international global organisations, governance is worth investing in with a view to avoiding common pitfalls and wider issues. The internal frameworks and reporting mechanisms within a firm will support a good governance framework.