Archives: Perspectives

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Addressing Attestations

Attestations are part of the FCA supervisory toolkit used to ensure accountability from senior management in all regulated firms. They are a means by which the FCA can gain personal commitment from an approved person that specific action has been taken or will be taken, often without requiring ongoing regulatory involvement.  We have seen attestations … Continue Reading

Former Senate Banking Chief Counsel Discusses Next Round of Financial Reform

In Perspectives, the editorial staff of financialregulatoryreport.com discusses pressing issues of the day with industry experts on a broad range of topics. FR Report:  In this edition of Perspectives, we sat down with Mark Oesterle, former Chief Counsel to the U.S. Senate Banking Committee, and recent addition to the Reed Smith Financial Regulatory team.  Mark, … Continue Reading
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