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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...

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...

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...

Tips to Create Risk Ownership within your firm

One of the fundamental obligations applicable to all regulated firms is the need to implement appropriate processes to manage risks. But...

Better Breach Management

A firm’s operational error log can provide a great deal of information about its compliance culture. Consider the following: Is it always...

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...

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,...