Filter by —
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...
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.
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.
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
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.
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.
2018 in review: What were the major changes?
"Commercial advice is no longer a dirty word." TCC speaks with Money Marketing on some of the major regulatory changes in 2018...
FCA issues Impact Assessment on EU withdrawal
On the 29th November the FCA responded to the requests of the Treasury select committee by publishing an impact assessment paper on the UK's departure from the EU...
Could GMP equalisation lead to a shake up of pension redress?
Pension benefits now need to be gender equalised, accounting for the impact of GMP. TCC's Head of Actuarial and Redress, Harry Eastwood, examines...
Taking the initial steps to SMCR compliance
Many firms have started their program or are in early stages of preparations, but it’s not too late to take the initial steps towards SMCR compliance.
Case study: Compliance review & remediation
We were engaged to conduct a detailed compliance review and produce a remediation action plan within tight timescales
Interrogating advisers' duty of care
Continuing their efforts to ensure customers are treated fairly the FCA has published a discussion paper on 'duty of care'...