Back
Platform
Compliance and
risk management
Regulatory 
Client Assets 
Policy and Document 
Compliance 
Operational Risk 
Operational 
Evidence Management 
Service Organisation 
Client 
Incident and Breach
Employee
compliance
Accountability 
Personal 
Gifts and 
Conflicts 
Employee
Consumer
duty
Back
About
Back
Insights
Accountability: Satisfying global standards
WEBINARControl 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
“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...
Read More
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...
Read More
The Appointed Representative Regime (the Regime) was introduced in 1986 initially for investment services. With the introduction of the Financial Services and Markets Act 2000 (FMSA), the Regime’s scope was broadened. The aim of the Regime has always been to provide a...
Read More
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...
Read More
The Bribery Act 2010 updated former outdated legislation.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...
Read More
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...
Read More
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...
Read More
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 appropriately? Good risk management brings many benefits to...
Read More
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 firm creates the right culture with effective controls and good...
Read More
All regulated firms are obliged to conduct compliance monitoring. The compliance function is required to monitor and test compliance by performing sufficient and representative compliance testing. Then the results are reported up through the compliance reporting line...
Read More
We’re all aware that operational resilience requires an holistic view of a firm’s operations. The Financial Services industry operates globally and requires a coordinated effort to establish a resilient framework. Current work to improve resilience focuses on being...
Read More
This was the view of the Payment Systems Regulator (PSR) back in 2015 when the PSR was still relatively new. Six years later and it’s fair to say that payments systems are even more critical today. It’s a message echoed by the Bank of England (BoE) and evidenced by the...
Read More
