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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
Whether you work in the pensions sector, or not, everyone needs to understand what Pension Dashboards are, and what it means for you personally. With the draft Pension Dashboard Regulations 2022 published earlier in 2022, we now see a large scale collaboration between...
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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...
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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...
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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...
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The Bribery Act 2010 updated former outdated legislation.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...
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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...
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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...
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In recent years, the term cryptoassets has slowly crept into our vocabulary. It’s a hot topic for debate and in the past few weeks, we’ve seen various countries and regions issuing guidance and warnings to both regulated firms and the public. What are cryptoassets?...
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The FCA’s policy ( PS21/20 ) outlined its changes to COBS research rules as well as the removal of the best execution reporting in RTS 27 and RTS 28. These changes are part of a wider review of the Capital Markets by the FCA and HM Treasury. The Government wishes to...
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Key Insights on Effective Governance for Workplace Pensions Governing bodies have a duty to fulfil in providing oversight. What does that mean for workplace pensions? For workplace pensions, the bodies tasked with this oversight are the Independent Governance...
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The FS Regulatory Initiatives Forum is still relatively new. In our earlier publication , we reviewed this collaborative approach towards financial services in the UK. The aim is to coordinate efforts to help firms manage regulatory change. In November 2021, the Forum...
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J uly 2021 The Financial Services Future Regulatory Framework (FRF) Review was launched by the HMT in 2019. Its purpose was to consider the longer term strategy for the financial services (FS) sector and create a framework for life after the EU. Phased Approach:...
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