338 Results found.
Earlier this week, the FCA published a new policy statement outlining several planned improvements to the Appointed Representatives (AR) regime, which entails a number of new responsibilities for principal firms. The changes are brought to increase the amount of supervision principals are required t
The wait is over, after over a year of debate, speculation and rumours from all corners of the industry, the regulator has now set out the formal set of rules for its long-touted Consumer Duty legislation. First formally proposed in May 2021, the Consumer Duty, as published on 27 July 2022, effect
After being named Innovator of the Year in the Women in Governance, Risk and Compliance (GRC) Awards 2021, we're delighted that TCC and Recordsure Founder and Executive Chair Joanne Smith has been confirmed as a judge for this year's event. This much-anticipated event shines a light on the tal
Despite only weeks to go until the final Consumer Duty rules are announced, a recent survey by Royal London has found that almost one in five advisers are still unfamiliar with the new legislation - suggesting many firms remain unaware of the significant step-up in regulatory obligations awaiting th
How can you approach complaints in a way that's constructive for both parties? In FT Adviser, Associate Director Neil Dethick explains his three-step process for helping unsatisfied customers navigate your complaints procedure - and how you can transform less-than-stellar outcomes into a learning
We’re thrilled to announce that we’ve been awarded 2022’s 'Financial Services Compliance Consultancy Firm of the Year in the United Kingdom' at the annual Global Advisory Experts Awards! Global Advisory Experts (GAE) is one of the most prominent international online resources for locating spec
The financial sector is currently experiencing a significant surge in acquisitions. And though these can be an efficient way of expanding your distribution, it’s essential you do your homework first to ensure a target firm won’t end up saddling you with hidden liabilities down the road. In Money
We’re very happy to announce that TCC and Recordsure Founder and Executive Chair Joanne Smith has been invited to lend her expertise as a judge at the 2022 Women in Governance, Risk and Compliance (GRC) Awards. This prestigious event recognises the important work being done by female thought leade
With its focus on encouraging firms to take a bolder approach to customer care, the FCA intends the Consumer Duty to completely reframe how consumer protection is approached across financial services. But with so much focus on the ‘how’, it’s sometimes easy to forget why such an ambitious init
We’re delighted to announce that Joanne Smith, Founder and Executive Chair at TCC and Recordsure, has been named Innovator of the Year at this year’s UK FinTech Awards! The UK FinTech Awards celebrate the many achievements and successes of the UK’s burgeoning FinTech and RegTech sector, reflec
Replacing the previous Treating Customers Fairly (TCF) requirements, the Consumer Duty is expected to bring new standards of care across the entire client journey. But could it also lead to new operational challenges? In FT Adviser, Associate Director Neil Dethick outlines four potential complicat
For the month of March, we’ve been continuing the International Women’s Day celebrations with a blog series that aims to unpick some of the biases that still exist in the workplace and disproportionally impact women, many of which are rarely talked about. This week we’re rounding off our serie
United by the principle of ensuring firms do their part to provide a fair and transparent service for clients, regulators around the world have signalled their intent to continue strengthening consumer protections and raising standards further over the next few years. And between the incoming Consum
The FCA’s long-awaited Consumer Duty is expected to hold regulated firms to a whole new standard of customer care - and with less than a year until it comes into effect, businesses should be doing all they can now to ease the transition. In Money Marketing, Associate Director Juana Diaz-Landinez o
We’re very pleased to reveal that TCC and Recordsure have been named as the joint winners of the ‘Best RegTech Company’ title at this year’s FinTech Breakthrough Awards! Now in its sixth year, the FinTech Breakthrough Awards shine a spotlight on the most successful and influential companies,
We're proud to announce that Joanne Smith, Founder and Executive Chair at TCC Group and Recordsure, has been named the finalist for the Innovator of the Year 2022 category by the UK FinTech Awards. The UK is a leading global hub for financial services and home to a burgeoning financial technology ma
Recent research has shown that digital engagement with customers is rapidly becoming the norm for financial services firms - so what does this mean for the traditional one-to-one service that customers have come to expect? In Money Marketing, TCC and Recordsure Group CEO Joe Norburn gives his though
Emma Parry has 20+ years of experience helping financial institutions strengthen their conduct and culture frameworks. A passionate ambassador for the power of technology in transforming risk management, she is the Founder and CEO of NovaFin Consulting and has previously held senior leadership posit
Ian Ewart has been at the forefront of digital innovation in financial services for more than two decades. Having driven the strategy at c-suite level for some of the UK’s largest financial institutions – including Coutts, HSBC and Barclays Wealth – he’s uniquely placed to bring clarity to t
