European Business Magazine: Mills Review signals the future direction of AI governance in financial services
European Business Magazine: Mills Review signals the future direction of AI governance in financial services
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
News Treating vulnerable customers fairly Firms are still struggling to ensure that their vulnerable customers are correctly identified and supported throughout the customer journey. 07/06/18 Go to article
The shift towards greater customer accountability TCC Regulatory Consultant Olivia Brady examines the FCA's approach to customer protection, and how their accountability is on the increase. 17/04/18 Read more
News Culture is the cornerstone of SMCR compliance Taking steps to measure, monitor and improve internal culture is the foundation of SMCR compliance. 12/04/18 Go to article
News Data deadlines: a timeline to prepare for GDPR In the run-up to the introduction of the GDPR, here is a checklist of steps firms should be taking to stay ahead of the game 19/02/18 Go to article
Case study: Global compliance operating model A new global compliance operating model for a sustainable future 14/02/18 Read more
Webinar: GDPR implementation framework In this webinar, we provide a 5 step framework to help you transition quickly and effectively to a GDPR compliant state. 09/02/18 Read more
FCA update on work in the high-cost credit sector The regulator’s ongoing work in this area has highlighted a need for market intervention, but also limitations in what traditional intervention methods could realistically achieve in this sector. 05/02/18 Read more
What’s on the culture and conduct horizon for 2018 With levels of regulatory scrutiny showing no signs of abating, we look at where firms can expect the regulator to focus on in 2018. 15/01/18 Read more
Four steps for getting ahead on SMCR Check out our steps to help you ensure a smooth transition to the new Senior Managers & Certification Regime. 08/01/18 Read more
How is the SMCR Shaping Up? The FCA's latest consultation provides the clearest indication of how the SMCR is shaping up. TCC's James Marshall highlights the key points. 29/12/17 Read more
News Compliance Tips for Dealing with Vulnerable Customers With the FCA making the protection of the vulnerable a high priority, we provide essential tips for effectively handling those customers. 04/12/17 Go to article
Case study: Improving compliance monitoring with conduct risk reviews Our client saw increased customer satisfaction as a result of an improved customer journey. 02/12/17 Read more
News The truth exists: 10 common GDPR misconceptions We've seen confusion from many firms trying, without success, to interpret the GDPR. Lorraine Mouat mythbusts the most common misconceptions to help firms gain clarity from the complexity of GDPR requirements. 01/12/17 Go to article
The FCA's future approach to consumers: Key take-aways TCC regulatory experts provide the key take-aways from the FCA's future approach to consumers publication. All you need to know! 13/11/17 Read more
News Regulation Overload: Are Advisers Ready For the MIFID II Mountain We examine why firms must be prepared for a number of process changes no matter whether they choose the FCA's option of recording conversations or taking written notes. 22/09/17 Go to article
Transitioning to SMCR Following the publication of the FCA's latest Consultation Paper on the SMCR, we explore the regulator's proposals on how it will apply the rules across the industry... 31/07/17 Read more
What Makes Good Conduct Regulation? We explore Jon Griffith Jones speech on what makes good conduct regulation and the importance of culture for promoting good conduct throughout organisations. 29/03/17 Read more