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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Blog
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
- 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
- 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
- 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...
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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...
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Priscilla Gaudoin
- Dec 2, 2021
ESG: Positive, Sustainable Change
In November, the Financial Conduct Authority’s CEO, Nikhil Rathi delivered a speech at the United Nations Climate Change Conference...
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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...
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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...
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Priscilla Gaudoin
- Aug 10, 2021
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...
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John O'Dwyer
- May 19, 2020
SMCR Responsibilities – Documenting Risks and Controls
In light of the turbulence caused by the Covid-19 pandemic, SMCR may have been pushed down the priority list for most firms for now. The...
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