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Control Your Conflicts: Strategies for Transparency & Integrity
WEBINARBeyond Compliance: Elevating Governance and Managing Risks Effectively
WEBINARNavigating Disruption: Building Operational Resilience in Today's World
WEBINARBeyond the Checklist: Unveiling the True Essence of Consumer Duty
WhitepaperOperational Resilience: Adapt, Respond & Recover
WhitepaperBest Practice in Third Party Risk Management
WhitepaperGuide to the FCA’s Strategy
WhitepaperSM&CR: Enhancing Ethics, Accountability & Culture
The UK’s financial promotions regime saw some significant changes in the past year, including the introduction of a regulatory gateway for approvers of third-party financial promotions. The emphasis on financial promotions isn’t new. In recent years, we’ve seen the...
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“Depending on who you speak to, AI could either lead to the destruction of civilisation, or the cure for cancer or both. It could either displace today’s jobs or enable an explosion in future productivity. The truth probably embraces both scenarios. At the FCA we are...
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The SM&CR review was announced as part of the Edinburgh reforms towards the end of 2022, with HM Treasury indicating that “ some stakeholders have raised concerns about their experiences of specific aspects of the regime .” Consequently, the government is assessing...
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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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Conflicts of interest is a subject matter that should be relatively easy to understand and as such, straightforward when it comes to compliance. Why then do we hear of senior managers who have failed to declare a potential conflict or to recuse themselves from related...
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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 Irish Client Asset Regulations (the CAR) were introduced to inspire public confidence and protect investors if an investment firm became insolvent. Revisions were made to the CAR in 2015 and today, we see Ireland preparing for further enhancements with the...
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This is one of the questions addressed in the UK's consultation Review of the UK Funds Regime . During 2022, the UK Government published its final response on how it aims to enhance the fund regime in the UK. In its publication, the HMT acknowledged the role that the...
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This statement encapsulates the importance of the annual reports and their audit, not just in verifying the financial status of individual firms, but by the impact upon the wider UK infrastructure. We’re all too aware of high-profile firms going bust without any...
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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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