Insights & Resources

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Insights & Resources

Explore our resource library, providing you with access to the latest insights and articles impacting Governance, Risk and Compliance for financial services. Our webinars, whitepapers and podcasts are packed with expert insights, best practices and actionable advice, addressing an extensive range of topics from risk management and compliance to consumer duty and appointed representatives.

Webinars

Next Webinar

Beyond the Checklist: Unveiling the True Essence of Consumer Duty.

25th January 2024 | 10:30am – 11:30am (GMT)

Watch on demand

Financial promotions take a variety of forms, and their content can have a huge impact over the decisions made by the public. Consequently, it is crucial that any promotions meet minimum standards to enable consumers to make informed and appropriate decisions. New requirements come into force from February 2024, but firms need to act now and prepare for the regulatory gateway. In our next live event, we’ll be exploring the financial promotions regime and what the changes mean for you and your firm.

We’ll consider the following areas:

What is the Financial Promotions Gateway?
What’s changed and why?
Challenges facing firms
Regulatory perspective
Impact upon other regulatory initiatives
Meeting your obligations
Ruleguard’s approach

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The ability to identify, manage and control risks is a basic requirement for regulated firms, but demonstrating appropriate systems and controls isn’t always easy. Firms continue to receive hefty fines from the regulators for failing to meet Principles 2 & 3, and the more detailed SYSC requirements. How can we improve our risk management frameworks?

We'll consider the following aspects:

Key features of a risk aware culture
Understanding risk maturity in firms
Risk appetite and its impact
Internal communications
Understanding a risk management framework

View our event and learn more about our practical solutions to help you keep track of what’s important to you and your business.

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Managing regulatory change can be a time-consuming exercise. Where do you start, and how do you know you’ve got all bases covered? These are a couple of the challenges regulated firms face every day against the backdrop of regulatory censure.

We'll consider the following aspects:

Tips for managing regulatory developments
Being a catalyst for change in your business
Demonstrating ongoing compliance, and
Providing assurance to your board and regulator

View our event and learn more about our practical solutions to help you keep track of what’s important to you and your business.

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Whitepapers

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Infographics

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Blog

Nov 21

Navigating the AI Frontier: A Regulatory Journey

Aug 10

Is SM&CR working?

May 19

Complaints: Is your data telling you something?

May 8

Why Managing Conflicts should still be on your agenda!

Feb 24

Are you ready for the Consumer Duty?

Jan 23

CAR 2022: What should you focus on?

Jan 12

What do the Edinburgh Reforms mean for ESG and Financial Services?

Nov 21, 2022

How do we make the UK Fund Regime more attractive?

Oct 31, 2022

How audit reforms can improve your firm's reputation

Oct 24, 2022

It's time we discussed Pension Dashboards

Oct 14, 2022

What type of complaint currently has the highest FOS upheld rate?

Sep 30, 2022

Why we’re talking about operational resilience and critical third parties right now

Sep 22, 2022

Financial Services and Markets Bill brings broader remit for regulators

Sep 6, 2022

SM&CR: an update for FMIs

Aug 25, 2022

Dawning of a tougher Appointed Representatives Regime

Aug 12, 2022

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

Aug 8, 2022

How can we improve corporate governance?

Jul 22, 2022

Do amended CPD requirements offer greater flexibility?

Jul 19, 2022

Regulatory Initiatives Forum Update

Jul 1, 2022

Regulators harness innovation to improve regulation

May 26, 2022

Prevent bribery occurring on your watch

May 26, 2022

What is the new Consumer Duty?

May 10, 2022

How effective governance aids complaints handling

Apr 25, 2022

Operational Resilience: Don't forget Cyber Resilience!

Apr 21, 2022

Assertive FCA issues Business Plan & Strategy

Mar 30, 2022

Cryptoassets: Why be concerned?

Mar 23, 2022

Sustainable Investing

Mar 16, 2022

Assess & Prove Competence

Mar 8, 2022

Manage Risk & Stay Out of the Headlines

Feb 22, 2022

MiFID II Quick Fixes

Feb 15, 2022

Transparency & Transfer Agents

Feb 9, 2022

Governance & Workplace Pensions

Jan 28, 2022

Operational Resilience: Countdown begins, are you ready?

Jan 21, 2022

How well do you know your Appointed Representatives?

Jan 5, 2022

What will 2022 hold for Financial Services?

Dec 2, 2021

ESG: Positive, Sustainable Change

Nov 19, 2021

Tips to Create Risk Ownership within your firm

Nov 8, 2021

Operational Resilience: Why is it so important for insurers?

Oct 29, 2021

Has SM&CR made a difference?

Oct 20, 2021

Discover the benefits of CASS audits

Oct 13, 2021

How to demonstrate control over Master Trusts

Oct 6, 2021

What is CMAR anyway?

Sep 29, 2021

CASS Firms: Focus on Resilience

Sep 22, 2021

How to Demonstrate Good Governance

Sep 21, 2021

UK SOX: Why We Need Reform

Sep 15, 2021

Accountability in Financial Services

Sep 15, 2021

Better Breach Management

Aug 17, 2021

Tips for Effective Compliance Monitoring

Aug 17, 2021

Operational Resilience: Why Setting International Standards is Crucial

Aug 10, 2021

Creating Resilient Payment Services

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Next Webinar

Beyond the Checklist: Unveiling the True Essence of Consumer Duty.

25th January 2024 | 10:30am – 11:30am (GMT)

Whitepapers

Infographics

Podcasts

Blog