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...
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Blog
Priscilla Gaudoin
- Nov 21, 2022
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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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
- 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
- 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...
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Priscilla Gaudoin
- Apr 25, 2022
Operational Resilience: Don't forget Cyber Resilience!
The FCA published a cyber resilience questionnaire cross sector report in 2018 and its findings are still relevant today. The cross...
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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 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,...
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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 20, 2021
Discover the benefits of CASS audits
Whilst it is not the regulator’s objective to prevent firms from failing, where a firm does fail, the aim is to manage this in an orderly...
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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...
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Priscilla Gaudoin
- Sep 15, 2021
Better Breach Management
A firm’s operational error log can provide a great deal of information about its compliance culture. Consider the following: Is it always...
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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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