As part of our Technology Marathon webinar series, partners Kristin Lee, Mike Pierides, and Steven Stone recently discussed the increasing regulatory focus by financial regulators on artificial intelligence (AI). Here are...more
The Board of the International Organization of Securities Commissions (IOSCO) has published a set of revised outsourcing principles for regulated entities. IOSCO is an international policy forum for securities regulators and...more
11/19/2021
/ Confidential Information ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Markets ,
Information Security ,
IOSCO ,
Outsourcing ,
Prudential Regulation Authority (PRA) ,
Regulatory Agenda ,
Regulatory Oversight ,
Securities Regulation ,
UK
The European Securities and Markets Authority (ESMA) on May 10 published final guidelines on outsourcing to cloud service providers (ESMA Guidelines) to help firms and competent authorities identify, address, and monitor the...more
5/18/2021
/ Cloud Computing ,
Cloud Service Providers (CSPs) ,
Competent Authority (CA) ,
EU ,
European Securities and Markets Authority (ESMA) ,
Investment ,
Outsourcing ,
Regulatory Requirements ,
Reporting Requirements ,
Service Agreements ,
UCITS
The UK Prudential Regulation Authority (PRA) published a policy statement (PS7/21) and a supervisory statement (SS2/21) on clarifying and modernizing regulatory expectations of outsourcing and third-party risk management on...more