IoD Future Leaders Summit
We were so excited to be speaker sponsor at the IoD Future Leaders Summit last week and it did not disappoint! Jessica Regnard introduced Sam Jones to the room. – Dragons Den’s ‘Best Pitch ever’!
A lack of “robust oversight” and “of documented details of discussions” are the headline findings highlighted in the JFSC’s Public Statement summarising the fines totalling £719,000 against three SG Kleinwort Hambros firms in Jersey.
A closer review of the statements lists over 30 significant failings identified by the JFSC, that go to the very core of good governance and risk management that boards of any regulated, and indeed unregulated, organisation should be paying close attention to.
The failings are wide ranging and include:
The list is endless, and yet based on the information provided at least, many of the shortcomings could have been addressed much earlier and, indeed with good basic governance, could have been avoided entirely.
At Aspida we have a wide range of senior staff and experienced teams within our Business Advisory division to help boards address issues, such as those experienced by Kleinwort Hambros. And as a recognised leader in the Compliance. Risk Management and Assurance space, we can bring you the most up-to-date processes and procedures used within the financial services world.
Our Compliance, Risk Management and Assurance team also provide help and assistance with Cyber Risk Management, AIFMD reporting, MIFiD consultancy, GDPR support, Risk Assessments, and CRS/FATCA (AEOI) reporting. We can also help with supporting Compliance led projects such as client file reviews, board reviews and preparation for regulatory oversight visits. Further, we can provide assurance through periodic controls testing and/or assessment on the internal controls environment.
Our services include:
We were so excited to be speaker sponsor at the IoD Future Leaders Summit last week and it did not disappoint! Jessica Regnard introduced Sam Jones to the room. – Dragons Den’s ‘Best Pitch ever’!
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We are very proud of our 5 for Headway team who ran/walked the course yesterday to raise money for Headway Guernsey! We are especially proud of Eve Bott who smashed it and won the whole