Covid-19: Our response Here's how we're maintaining commitments to our clients while keeping our colleagues safe and healthy 23/03/20 Read more
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. 08/08/19 Read more
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. 26/06/19 Read more
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. 07/06/19 Read more
News Avoiding the unintended consequences of SMCR With forward planning, firms can minimise the impact of the regime. 22/05/19 Go to article
Case study: Designing a more effective and efficient compliance function We helped a firm design a more effective and efficient compliance function 09/05/19 Read more
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. 23/04/19 Read more
Webinar: Managing the employee lifecycle in the age of accountability Join us as we discuss how the fast-approaching Senior Managers and Certification Regime (SM&CR) will affect firm's HR departments and influence the management of employees. 03/04/19 Read more
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. 18/02/19 Read more
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. 28/01/19 Read more
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. 11/01/19 Read more
News 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... 18/12/18 Go to article
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... 03/12/18 Read more
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. 12/11/18 Read more
News 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'... 03/08/18 Go to article
