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governance | Peruse our blogs for the latest, fresh perspective on navigating the maze of global regulations and upcoming milestones. This is your shortcut to staying ahead, packed with insights and expert tips from the forefront of GRC innovation.

The ROI of GRC – Why Value Is Not Found in Headcount Reduction

governance, compliance, RegTech, risk management, GRC, headcount

The Role of GRC - Why Value is Not Found in Headcount Reduction Making the Case for Investment in Risk and Compliance Technology In 1907, the RMS Lusitania was hailed as an engineering marvel. But behind the glamour, shipping lines like Cunard understood that true...

GRC and the Plumbing Problem: Why “What’s Out of Sight Shouldn’t Be Out of Mind”

governance, accountability, compliance, risk management, GRC, Compliance Monitoring

GRC and the Plumbing Problem: Why 'What’s Out of Sight Shouldn’t Be Out of Mind' How to Make Risk and Compliance Visible to Those Who Need to Care When the Ro mans built their aqueducts over 2,000 years ago, they weren’t just showing off engineering geniuses, they were...

The Cost of Doing Nothing

governance, accountability, compliance, risk management, GRC, Compliance Monitoring

Why Inaction Is No Longer an Option in GRC & RegTech In financial services, GRC and RegTech play a central role in building operational resilience, maintaining stakeholder trust, and meeting regulatory expectations. Yet, many organisations continue to rely on manual,...

“Regulatory Greens”: FCA’s Balanced diet

governance, accountability, SM&CR, Consumer Duty, GRC, financial crime

"Good strategy, like good nutrition, is all about balance. The right elements, working together, to support long-term health." (Emily Shepperd, FCA's COO, June 2024)

Navigating the AI Frontier: A Regulatory Journey

governance, third parties, accountability, corporate governance, risk management, regulatory strategy, monitoring, AI

“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...

Are you ready for the Consumer Duty?

governance, third parties, accountability, assessments, wealthmanagement, consumerduty, systems and controls, compliance, culture, corporate governance

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...

CAR 2022: What should you focus on?

governance, accountability, corporate governance, risk management, funds, CAMP, audit, CASS, client assets

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...

Trustees: The September deadline is looming. Are you ready?

governance, third parties, accountability, corporate governance, pensions, monitoring, trusts, audit trail, data sharing

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...

What is the new Consumer Duty?

governance, consumerduty, FCA, disclosures, complaints, audit trail

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...

How effective governance aids complaints handling

governance, corporate governance, complaints, audit trail

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...

Sustainable Investing

governance, ESG, Responsible investment, sustainability, SDR, Stewardship, SFDR, sustainable disclosures

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...

Assess & Prove Competence

governance, accountability, culture, corporate governance, oversight, Code of Conduct, SM&CR, competence, audit trail

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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