Regulation in 2019: Our outlook
Insight — 18/02/19
Search Results for (nothing) — Page: 4
105 Results found.
SMCR: What can be learned from the banking sector?
Insight — 28/01/19
Case study: Flexible overflow business assurance relieves internal pressure
Insight — 14/01/19
SMCR: A spotlight on individual accountability
Insight — 11/01/19
2018 in review: What were the major changes?
Insight — 18/12/18
FCA issues Impact Assessment on EU withdrawal
Insight — 03/12/18
The Treasury Select Committee asked the FCA to assess the impact of the UK leaving the EU. On the 29th November the regulator has responded with an impact assessment paper, which focuses on three key area areas: The UK leaving the EU without an agreement on the 29th March 2019 or after the transitio
Taking the initial steps to SMCR compliance
Insight — 12/11/18
Case study: Compliance review & remediation
Insight — 11/10/18
Interrogating advisers’ duty of care
Insight — 03/08/18
Case study: Comprehensive UCIS review without the cost burden
Insight — 14/07/18
FCA consults on overdraft proposals to protect consumers in the high-cost credit and overdraft sectors
Insight — 18/06/18
High-cost credit is used by over three million consumers in the UK, generally those who are the most vulnerable. In light of this, the FCA is continuing its focus on the protection of consumers and its ongoing assessment of vulnerability with a consultation on the high-cost credit and overdraft sect
Ensuring vulnerable customers are treated fairly
Insight — 07/06/18
New FSCS proposals are good news for customers
Insight — 21/05/18
The shift towards greater customer accountability
Insight — 17/04/18
The historic customer detriment caused by the actions of financial services firms has sent consumer protection to the top of the FCA’s agenda, with a focus on vulnerable customers. Firms are now under increasing pressure to review policies, procedures and controls to ensure they consider and prote
Culture is the cornerstone of SMCR compliance
Insight — 12/04/18
Your guide to the FCA Business Plan 2018/19
Insight — 11/04/18
Case study: Getting GDPR ready
Insight — 01/04/18
Data deadlines: a timeline to prepare for GDPR
Insight — 19/02/18
Case study: Global compliance operating model
Insight — 14/02/18
Webinar: GDPR implementation framework
Insight — 09/02/18
Watch the webinar recording! Now you’ve completed the analysis phase of getting GDPR ready, you’ll know where you need to update the current data you hold and make changes to your policies, procedures and business practices. In this webinar, we provide a 5 step framework to help you transition q
What’s on the culture and conduct horizon for 2018
Insight — 15/01/18
2017 ended on a wave of regulatory scrutiny of firms’ conduct and culture, which will continue into 2018. In the days of the Financial Services Authority (FSA), the focus was on complying with prescribed rules and building controls around them. The FCA then sought to move the focus to a higher pla
Four steps for getting ahead on SMCR
Insight — 08/01/18
47,000 firms across financial services will be impacted by the extension of the Senior Managers and Certification Regime (SMCR) when it comes into force. SMCR will strengthen the regulator’s focus on individual accountability, culture and governance. Although we are still awaiting the final rules,
How is the SMCR Shaping Up?
Insight — 29/12/17
The extension of the Senior Managers and Certification Regime (SMCR) will impact approximately 47,000 firms across the breadth of the industry and the FCA’s latest consultation (CP17/42) provides the clearest indication of how the regime will be rolled out across the industry. Why is the regime
Compliance Tips for Dealing with Vulnerable Customers
Insight — 04/12/17