Back
Platform
Compliance and
risk management
Regulatory 
Client Assets 
Policy and Document 
Compliance 
Operational Risk 
Operational 
Evidence Management 
Service Organisation 
Client 
Incident and Breach
Employee
compliance
Accountability 
Personal 
Gifts and 
Conflicts 
Employee
Consumer
duty
Financial Crime: Preventing Market Abuse
Save my seat!
Operational Resilience: Adapt, Respond & Recover
Read more
Back
Your Compliance
Solutions
by Sector
Solutions
by Function
Financial Crime: Preventing Market Abuse
Register today
Best Practice in Third Party Risk Management
Read Now
Back
About
Back
Insights
Financial Crime: Preventing Market Abuse
WEBINARRisk Management: Tactics for Digital Assets
WEBINARRegulatory Updates: Blueprint for Success
WEBINARThe Secret to Successful Product Governance
WEBINARUnderstanding the impact & implementation of the UK’s Consumer Duty
WebinarAccountability: Satisfying global standards
White paperOperational Resilience: Adapt, Respond & Recover
White paperBest Practice in Third Party Risk Management
White paperGuide to the FCA’s Strategy
The FCA’s Sarah Pritchard (Executive Director, Markets), recently delivered a speech announcing the FCA’s intention to undertake a review of the investment advice rules. Whilst the industry might welcome this review, how does this relate to the FOS? The FOS published...
Read More
The Financial Regulatory Framework (FRF) Review provided the UK with the perfect opportunity to examine our regulatory framework following Brexit. Two consultation papers were issued, and the UK Government’s response was published. FRF Review: The FRF Review outlined...
Read More
UK Government issued a consultation paper last year setting out its proposals to replicate the Senior Managers & Certification Regime (SM&CR) for Financial Market Infrastructures (FMIs), who are not authorised firms. Here we look at the outcome of that consultation....
Read More
The Appointed Representative Regime (the Regime) was introduced in 1986 initially for investment services. With the introduction of the Financial Services and Markets Act 2000 (FMSA), the Regime’s scope was broadened. The aim of the Regime has always been to provide a...
Read More
From the 1 September 2022, most trusts will need to be registered with HMRC. There are a few exceptions. This follows a 12-month transition period. What’s changing and why? Back in 2017, you may recall that the UK set up the Trust Registration Service (TRS) to fulfil...
Read More
One of the fundamental obligations applicable to all regulated firms is the need to implement appropriate processes to manage risks. One such risk is that of providing unsuitable advice to consumers. This area has been a regulatory hot topic for some time. Remember the...
Read More
The Financial Services Regulatory Initiatives Forum published its latest update in May. The Regulatory Initiatives Grid (Grid) highlights what is in the pipeline for the FS industry over the next 24 months. Our earlier blogs explained the purpose of the Regulatory...
Read More
The Bribery Act 2010 updated former outdated legislation. The Act explains bribery & sets out various offences under the Act: Being bribed Bribing foreign public officials Failing to prevent bribery Making facilitation payments The Act defines Bribery as an act...
Read More
The FCA states that the Consumer Duty aims to “ensure a higher and more consistent standard of consumer protection for users of financial services and help to stop harm before it happens” The new Consumer Duty requirements are due to be finalised in July. It comes at a...
Read More
Discover the impact of effective governance on complaints handling All regulated firms must have a process for handling complaints. Its purpose is to ensure that customer complaints are dealt with effectively, expediently and appropriately. Firms were reminded of this...
Read More
The FCA published a cyber resilience questionnaire cross sector report in 2018 and its findings are still relevant today. The cross sector report highlighted that the following points were top of the agenda for many firms: Concerns around cyber resilience Improving...
Read More
It’s that time again! This year the FCA has issued a Strategy Document for the next three years to accompany its Business plan for 2022-23. This will be followed shortly by publication of its Data Strategy. Last year the FCA focused on becoming "more innovative, more...
Read More
