Filter by —
Case Study: Outsourced business assurance accelerated by RegTech
Discover how our high-performance business assurance helped a client deal with a fluctuating workload faster and with superior quality!
Skilled person reviews: What is the FCA looking at under conduct of business?
The FCA is making some changes to its focus under conduct of business. Don Scott gives you the insight you need to know.
Regulating transfers with effective triage
TCC's James Marshall discusses defined benefit transfers with FT Adviser...
Answer three questions to protect your fund and your clients from liquidity risk
Recent issues have highlighted the need for stock liquidity risk management. Here are 3 questions to help you get started.
Don't be fooled by Brexit uncertainty
It's still business as usual in the regulatory world. Technical Director Don Scott explains how you can avoid being caught out.
Taking Reasonable Steps with Mini-bonds
Mini-bonds are under the regulatory spotlight. David Boyhan delves into what mini-bonds are and what can be learned from recent failures in the market.
Case study: Regulatory due diligence
We created an action plan to bring the target firm up to scratch prior to the acquisition and reduce conduct risk.
Investment platforms still have some room for improvement
Don Scott, Technical Director at TCC discussed the key takeaways from the FCA's final report on platform providers for FT Adviser.
Avoiding the unintended consequences of SMCR
Lorraine Mouat discusses how, with forward planning, firms can minimise the impact of the regime.
Case study: Designing a more effective and efficient compliance function
We helped a firm design a more effective and efficient compliance function
Do platforms have ex post MiFID II disclosures that are up to date?
Time is running out out for firms to provide cost transparency documents and advisers are seeing the difficulties that lie ahead in acquiring the relevant information...
What’s on the FCA research agenda?
In conjunction with its 2019/20 Business Plan, the FCA has published its research agenda, which highlights its current areas of interest across five key areas.
Webinar: Managing the employee lifecycle in the age of accountability
TCC's Lorraine Mouat discusses how the fast-approaching Senior Managers and Certification Regime (SM&CR) will affect firm's HR departments and influence the management of employees.
Regulation in 2019: Our outlook
SM&CR is one of the biggest changes on the horizon for 2019 and could potentially cause a compliance headache for the advisory sector. We share our outlook on this regime and others for the year ahead.
12 months of MiFID II
MiFID II recently hit a significant milestone, having been in force for 12 months. We examine the impact it has had on the industry.
SMCR: What can be learned from the banking sector?
For solo-regulated firms, the forthcoming extension of SMCR represents the next major regulatory change on the horizon.
Case study: Flexible overflow business assurance relieves internal pressure
Outsourcing also results in a regular independent view on the business written.
SMCR: A spotlight on individual accountability
By end of this year, senior managers could be held personally accountable for any conduct failings within their areas of oversight under SMCR.