Navigating the AI Frontier: A Regulatory Journey
“Depending on who you speak to, AI could either lead to the destruction of civilisation, or the cure for cancer or both. It could either...
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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...
368
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...
171
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...
83
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...
163
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...
254
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...
47
Priscilla Gaudoin
- Mar 23, 2022
Sustainable Investing
In October 2021, the UK government published its roadmap for sustainable investing. In the previous month, it had raised £10 billion for...
20
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...
28
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...
32
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...
74
Priscilla Gaudoin
- Feb 9, 2022
Governance & Workplace Pensions
Governing bodies have a duty to fulfil in providing oversight. What does that mean for workplace pensions? For workplace pensions, the...
20
Priscilla Gaudoin
- Jan 28, 2022
Operational Resilience: Countdown begins, are you ready?
The FCA hosted a live event providing feedback to the industry regards preparation for the March 2022 deadline. During the session,...
24
Priscilla Gaudoin
- Jan 21, 2022
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...
63
Priscilla Gaudoin
- Nov 19, 2021
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...
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Priscilla Gaudoin
- Oct 29, 2021
Has SM&CR made a difference?
The Senior Managers & Certification Regime (SM&CR) for insurers took effect in December 2018. As part of the Solvency II regime,...
32
Priscilla Gaudoin
- Oct 13, 2021
How to demonstrate control over Master Trusts
The UK’s Pension Schemes Act 2017 and Occupational Pension Schemes (Master Trusts) Regulations 2018 introduced the concept of a master...
26
Priscilla Gaudoin
- Sep 29, 2021
CASS Firms: Focus on Resilience
In 2020 the FCA issued three Dear CEO letters. The letters were a reminder to firms of the obligations relating to client assets and...
208
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...
148
Priscilla Gaudoin
- Sep 15, 2021
Accountability in Financial Services
Since the financial crisis of 2008 regulators worldwide have been introducing reforms to improve individual accountability within firms. ...
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