Great expectations

Risk-based regulation

Risk-based regulation has been the top mantra, both for UK financial firms and their regulator in the recent past. The term 'risk-based approach' has been used to describe, very simply, the age-old conundrum - how does one prioritise scarce resources against the myriad of deliverables requiring regulatory attention? Risk-based regulation enabled financial regulators to assign these resources (including skilled staff) to big-ticket items, primarily based on how risky they assessed a particular

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Investment banks: the future of risk control

This survey report explores the current state of risk controls in investment banks, the challenges of effective engagement across the three lines of defence, and the opportunity to develop a more dynamic approach to first-line risk control

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