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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...

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...

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The Bribery Act 2010 updated former outdated legislation.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...

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...

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...

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...

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...

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...

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...

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...

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...