Gareth Johnson concludes his series of articles for Professional Adviser with some practical steps to mitigate regulatory risk factors...
In the first two articles of this series, I examined the challenges of keeping up with regulatory change and how we see resulting risks manifest in asset management businesses. In this final piece, it's time to turn to the practical, actionable steps firms can take to mitigate those risks and build resilience in an increasingly complex regulatory environment. 1. Prioritise regulatory intelligence The pace and breadth of regulatory change can be overwhelming but change requirements absolutely can be distilled into actionable steps. Ensure you have robust regulatory intelligence for you...
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