Atma Dhariwal - Director at Waystone in United Kingdom

      Atma Dhariwal


      United Kingdom
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      Atma specialises in assisting firms on all aspects of the FCA’s prudential rules (including EU CRD IV regulations) both on a consultancy basis as well as providing assistance to firms in fulfilling regulatory reporting requirements. Atma advises firms on their risk management frameworks (incorporating credit, market, liquidity and operational risks) with a specific focus on the calculation of Pillar 2 (ICAAP) capital requirements. His risk management expertise extends to assisting firms in ensuring that their operational procedures and management controls are in line with FCA’s rules in SYSC. Atma also has an in-depth knowledge and substantial hands-on experience in relation to the application of FCA’s CASS rules.

      Atma has spent over 25 years in the financial services industry having previously spent 10 years as Chief Accountant at a major public company. Prior to this, Atma worked as Finance Director for a securities and derivatives brokerage firm.

      Recent work includes:

      • assisting firms in understanding their reporting requirements under the EU CRD IV regulations
      • assisting dealer/brokers in their applications for authorisation by the FCA
      • advising firms on their compliance with CASS (client money and assets) requirements
      • assisting IFPRU 730K firms in preparation of their “Resolution & Recovery Plans” for submission to the FCA
      • assisting firms in the preparation of remuneration policies for a number of firms in line with requirements in SYSC
      • assisting in the preparation of ICAAPs and risk management frameworks for investment management and brokerage firms
      • continuing to assist firms in fulfilling their prudential/regulatory requirements.
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