Is SM&CR working?
The SM&CR review was announced as part of the Edinburgh reforms towards the end of 2022, with HM Treasury indicating that “some...
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Blog
Priscilla Gaudoin
- May 19
Complaints: Is your data telling you something?
The FCA’s thematic review on complaints handling took place almost 10 years ago, but its findings continue to be relevant and are echoed...
121
Priscilla Gaudoin
- May 8
Why Managing Conflicts should still be on your agenda!
Conflicts of interest is a subject matter that should be relatively easy to understand and as such, straightforward when it comes to...
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Priscilla Gaudoin
- Feb 24
Are you ready for the Consumer Duty?
Following the initial milestone of 31st October 2022, the FCA reviewed a sample of the implementation plans from some of the larger firms...
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Priscilla Gaudoin
- Jan 23
CAR 2022: What should you focus on?
The Irish Client Asset Regulations (the CAR) were introduced to inspire public confidence and protect investors if an investment firm...
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Priscilla Gaudoin
- Jan 12
What do the Edinburgh Reforms mean for ESG and Financial Services?
ESG was on everyone’s lips throughout 2022. Regardless of location and career, sustainability has been high on the agenda for many...
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Priscilla Gaudoin
- Nov 21, 2022
How do we make the UK Fund Regime more attractive?
This is one of the questions addressed in the UK's consultation Review of the UK Funds Regime. During 2022, the UK Government published...
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Priscilla Gaudoin
- Oct 31, 2022
How audit reforms can improve your firm's reputation
This statement encapsulates the importance of the annual reports and their audit, not just in verifying the financial status of...
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Priscilla Gaudoin
- Oct 24, 2022
It's time we discussed Pension Dashboards
Whether you work in the pensions sector, or not, everyone needs to understand what Pension Dashboards are, and what it means for you...
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Priscilla Gaudoin
- Oct 14, 2022
What type of complaint currently has the highest FOS upheld rate?
The FCA’s Sarah Pritchard (Executive Director, Markets), recently delivered a speech announcing the FCA’s intention to undertake a...
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Priscilla Gaudoin
- Sep 30, 2022
Why we’re talking about operational resilience and critical third parties right now
In a previous article, we highlighted some of the post-Brexit changes being implemented by the Financial Services and Markets Bill (FSM...
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Priscilla Gaudoin
- Sep 22, 2022
Financial Services and Markets Bill brings broader remit for regulators
The Financial Regulatory Framework (FRF) Review provided the UK with the perfect opportunity to examine our regulatory framework...
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Priscilla Gaudoin
- Sep 6, 2022
SM&CR: an update for FMIs
UK Government issued a consultation paper last year setting out its proposals to replicate the Senior Managers & Certification Regime...
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Priscilla Gaudoin
- Aug 25, 2022
Dawning of a tougher Appointed Representatives Regime
The Appointed Representative Regime (the Regime) was introduced in 1986 initially for investment services. With the introduction of the...
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Priscilla Gaudoin
- Aug 12, 2022
Trustees: The September deadline is looming. Are you ready?
From the 1 September 2022, most trusts will need to be registered with HMRC. There are a few exceptions. This follows a 12-month...
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Priscilla Gaudoin
- Aug 8, 2022
How can we improve corporate governance?
The term corporate governance was introduced during the 80s and 90s to describe best practices for listed companies. It followed the...
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Priscilla Gaudoin
- Jul 22, 2022
Do amended CPD requirements offer greater flexibility?
One of the fundamental obligations applicable to all regulated firms is the need to implement appropriate processes to manage risks. One...
125
Priscilla Gaudoin
- Jul 19, 2022
Regulatory Initiatives Forum Update
The Financial Services Regulatory Initiatives Forum published its latest update in May. The Regulatory Initiatives Grid (Grid)...
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Priscilla Gaudoin
- Jul 1, 2022
Regulators harness innovation to improve regulation
In 1961 President Kennedy set the challenge of landing a man on the moon by the end of the decade. Several years later, and following...
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Priscilla Gaudoin
- May 26, 2022
Prevent bribery occurring on your watch
The Bribery Act 2010 updated former outdated legislation. The Act explains bribery & sets out various offences under the Act: Being...
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