Regulation

The rise of the Virtual CTO

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I’ve just found this piece from HFM about Virtual CTO’s. HFM-Tech-magazine IP Sentinel offer a range of virtual CTO (vCTO) services to Fund Managers to help them, amongst other things,  understand IT, mange their risk, assist in Investor Due Diligence, Manage SYSC8 KPI’s, help with regulatory visits. We have a framework of Policies & Procedures that […]

Business Continuity

Fund Manager Business Continuity

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Regardless of your Regulator, FCA/SEC/FINRA, a business continuity plan is a regulatory requirement Every business has a notional plan as to what to do if a disaster strikes. However regulated firms have to be much more definitive in their thinking and procedures. The regulator insists that firms have adequate systems and that those systems can […]

COBS 11.8

FCA Record Keeping – Are you sure you want to outsource that?

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Is your firm compliant with the FCA regulations on Archiving? Let’s imagine you’ve outsourced your IT to your preferred IT outsourcing provider and they have stated that they will provide a 7 year archiving service… Is that any good to you? – Probably not without a thorough understanding of your responsibilities and understanding how your outsource […]