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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
Robust risk management and good governance are crucial elements for success! As we approach the second half of 2024 and look forward to 2025, where are the regulators focusing their attention? In Ireland, we see the Central Bank of Ireland (CBI) focusing on: Fighting...
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The FCA’s thematic review on complaints handling took place almost 10 years ago, but its findings continue to be relevant and are echoed in the FCA’s Consumer Duty work. The regulator aims to ensure firms treat customers fairly by supporting those in difficulty and...
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Following the initial milestone of 31st October 2022, the FCA reviewed a sample of the implementation plans from some of the larger firms operating in the UK. These were firms deemed to be of higher risk as they operate in the retail market and could impact both...
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The Senior Managers & Certification Regime (SM&CR) was first introduced in 2016 for banks and then phased in until it was finally extended to include the remaining regulated firms at the end of 2019. SM&CR aims to encourage greater accountability within firms whilst...
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Strategies for Establishing Risk Ownership in Your Firm One of the fundamental obligations applicable to all regulated firms is the need to implement appropriate processes to manage risks. But how do we encourage our staff to take responsibility and raise issues...
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The Senior Managers & Certification Regime (SM&CR) for insurers took effect in December 2018. As part of the Solvency II regime, insurers were already subject to the Senior Insurance Managers Regime (SIMR) introduced in 2016. Despite that, there were some new...
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How well can your firm demonstrate effective systems and controls? Corporate Governance isn’t just about who sits on your board and how often the board meets. It’s about the systems and controls as well as the standards set within a firm. It’s about ensuring that the...
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A firm’s operational error log can provide a great deal of information about its compliance culture. Consider the following: Is it always the same individuals recording all the issues? Has the log remained untouched for several months? Are the identified issues...
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Since the introduction of the Senior Managers and Certification Regime (SM&CR), it has been interesting to see how and where firms have allocated most of their resources to comply with the new rules. Implementation tends to follow one of two strategic approaches:...
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In light of the turbulence caused by the Covid-19 pandemic, SMCR may have been pushed down the priority list for most firms for now. The disruption has however given rise to a number of practical and compliance challenges which have a direct and imminent impact on...
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