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
- Aug 25, 2022
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...
182
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...
70
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The Bribery Act 2010 updated former outdated legislation.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...
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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...
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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...
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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...
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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
- 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
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...
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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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