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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
“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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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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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...
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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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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 fact in the FCA’s Business Plan and Strategy documents. Regulatory...
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In October 2021, the UK government published its roadmap for sustainable investing. In the previous month, it had raised £10 billion for green projects via its first green gilt, which launched the UK’s green financing programme. How can firms help? Financial Services...
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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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Prior to AIFMD and UCITS V, transfer agents (TAs) were unknown, however the need for greater transparency and trust has raised their profile. Transfer agents play an important role in financial services. They fulfil a number of functions such as maintaining and...
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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 Committees (IGCs) and Governance Advisory Arrangements (GAAs). With...
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The FCA hosted a live event providing feedback to the industry regards preparation for the March 2022 deadline. During the session, representatives from both the FCA and PRA presented feedback and responded to industry queries. The regulators were keen to remind...
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In December 2021, the FCA published its proposals for improving the oversight of appointed representatives. Regulatory expectations: The FCA is looking to reduce harm to consumers by strengthening the appointed representatives regime. From its thematic reviews of...
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