How do we make the UK Fund Regime more attractive?
This is one of the questions addressed in the UK's consultation Review of the UK Funds Regime. During 2022, the UK Government published...
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Blog
Priscilla Gaudoin
- Oct 24, 2022
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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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...
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Priscilla Gaudoin
- Sep 6, 2022
SM&CR: an update for FMIs
UK Government issued a consultation paper last year setting out its proposals to replicate the Senior Managers & Certification Regime...
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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...
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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
- 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...
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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...
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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
- 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...
15
Priscilla Gaudoin
- Oct 6, 2021
What is CMAR anyway?
The purpose of the Client Assets Sourcebook (CASS) is to ensure that client money and assets are always protected. Importantly, all...
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Priscilla Gaudoin
- Sep 21, 2021
UK SOX: Why We Need Reform
In 2002, the USA implemented the Sarbanes Oxley Act (SOX). It caused quite a stir at the time due to the time and effort required to...
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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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Priscilla Gaudoin
- Aug 2, 2021
Building Resilient Third Party Chains
Both the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA) require firms to identify and manage their...
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Priscilla Gaudoin
- Jul 27, 2021
Operational Resilience – Is Outsourcing on your Radar?
With the publication of final policy statements there is a clear message that firms must look externally at third party relationships as...
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Priscilla Gaudoin
- Jul 7, 2021
An Overview of Operational Resilience
Operational Resilience has been a hot topic in the UK for a number of years and has gathered momentum recently as the supervisory bodies...
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