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
- 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...
171
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...
103
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...
193
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...
79
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
- May 26, 2022
What is the new Consumer Duty?
The FCA states that the Consumer Duty aims to “ensure a higher and more consistent standard of consumer protection for users of financial...
245
Priscilla Gaudoin
- May 10, 2022
How effective governance aids complaints handling
All regulated firms must have a process for handling complaints. Its purpose is to ensure that customer complaints are dealt with...
43
Priscilla Gaudoin
- Apr 25, 2022
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...
35
Priscilla Gaudoin
- Apr 21, 2022
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...
50
Priscilla Gaudoin
- Mar 16, 2022
Assess & Prove Competence
The Senior Managers & Certification Regime (SM&CR) was first introduced in 2016 for banks and then phased in until it was finally...
25
Priscilla Gaudoin
- Mar 8, 2022
Manage Risk & Stay Out of the Headlines
Managing regulatory risk should be a priority for regulated firms, but how well does a board understand its obligations? How does a board...
30
Priscilla Gaudoin
- Feb 15, 2022
Transparency & Transfer Agents
Prior to AIFMD and UCITS V, transfer agents (TAs) were unknown, however the need for greater transparency and trust has raised their...
57
Priscilla Gaudoin
- Sep 22, 2021
How to Demonstrate Good Governance
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...
133
Priscilla Gaudoin
- Sep 21, 2021
UK SOX: Why We Need Reform
In 2002, the USA implemented the Sarbanes Oxley Act (SOX). It caused quite a stir at the time due to the time and effort required to...
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Priscilla Gaudoin
- Aug 17, 2021
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...
217
Priscilla Gaudoin
- Aug 17, 2021
Operational Resilience: Why Setting International Standards is Crucial
We’re all aware that operational resilience requires an holistic view of a firm’s operations. The Financial Services industry operates...
21
Priscilla Gaudoin
- Jul 7, 2021
An Overview of Operational Resilience
Operational Resilience has been a hot topic in the UK for a number of years and has gathered momentum recently as the supervisory bodies...
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John O'Dwyer
- Jul 21, 2020
COVID-19: Is the regulator cutting CASS firms some slack?
With the unprecedented levels of support coming from government to numerous business sectors to mitigate the impact of the COVID-19,...
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