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 […]
In the Final Notice 2015: John Joseph Financial Services Limited where the FCA issued a Fine of £20,000 for breaches of PRIN 9, SYSC, COB and COBS related to mis-selling in the investment adviser sector, the FCA states that firms should review their IT regularly. In this case there were missing and incomplete client records due to faulty IT systems. […]
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 […]
Press Releases | Cordium | Cordium partners with IP Sentinel – Delivering clients solutions for the Regulator’s enhanced focus on IT and Cybersecurity.
Whoops, my cloud's just gone titsup. Now what? • The Register.
Cordium partners with IP Sentinel | Hedgeweek.
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 […]