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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Blog
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...
197
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...
146
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...
70
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...
159
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)...
106
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The Bribery Act 2010 updated former outdated legislation.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...
47
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
- 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 30, 2022
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,...
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 22, 2022
MiFID II Quick Fixes
The FCA’s policy (PS21/20) outlined its changes to COBS research rules as well as the removal of the best execution reporting in RTS 27...
23
Priscilla Gaudoin
- Jan 5, 2022
What will 2022 hold for Financial Services?
The FS Regulatory Initiatives Forum is still relatively new. In our earlier publication, we reviewed this collaborative approach towards...
20
Priscilla Gaudoin
- Jul 27, 2021
Regulatory Strategy: What’s the plan?
July 2021 The Financial Services Future Regulatory Framework (FRF) Review was launched by the HMT in 2019. Its purpose was to consider...
34
Priscilla Gaudoin
- Jul 12, 2021
RegTech: Why does it matter?
July 2021 RegTech seems to be on everyone’s lips these days, but can it really help financial services? The regulators seem to think so....
54
Priscilla Gaudoin
- Jun 25, 2021
UK Financial Services Regulatory Initiatives Forum
The FS Regulatory Initiatives Forum was created to coordinate efforts of its members. By sharing information and reviewing the timing of...
31
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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