London Governance & Compliance Academy
The BASEL Accords, a vital framework in global banking regulation, have significantly improved global financial stability. Four key accords have been sequentially introduced. BASEL I, in 1988, established minimum capital requirements to mitigate credit risk. BASEL II (2004) refined risk measurement and sensitivity. Responding to the 2008 crisis, BASEL III (2010) enhanced capital adequacy and […]
Developing regulatory frameworks for the fund industry in the European Union and post-Brexit UK has been vital to safeguarding investor interests, ensuring market stability and bolstering the financial markets’ integrity. The EU has crafted a system prioritising transparency and investor protection. In contrast, since leaving the EU, the UK has refined its regulatory measures to […]
The Client Assets Sourcebook (CASS) – Origins and Objectives The CASS was instituted by the Financial Conduct Authority (FCA), and represents a fundamental cornerstone in the regulatory framework of the United Kingdom’s financial sector. In the wake of the global financial crisis, there emerged an exigent demand for a more structured approach to ensuring that […]
