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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...

Operational Resilience: Don't forget Cyber Resilience!

The FCA published a cyber resilience questionnaire cross sector report in 2018 and its findings are still relevant today. The cross...

Assertive FCA issues Business Plan & Strategy

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...

Cryptoassets: Why be concerned?

In recent years, the term cryptoassets has slowly crept into our vocabulary. It’s a hot topic for debate and in the past few weeks,...

How well do you know your Appointed Representatives?

In December 2021, the FCA published its proposals for improving the oversight of appointed representatives. Regulatory expectations: The...

Discover the benefits of CASS audits

Whilst it is not the regulator’s objective to prevent firms from failing, where a firm does fail, the aim is to manage this in an orderly...

Tips for Effective Compliance Monitoring

All regulated firms are obliged to conduct compliance monitoring. The compliance function is required to monitor and test compliance by...

Creating Resilient Payment Services

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...