24 Results found.

A Compliance Christmas Carol

Insight — 17/12/18
Ebenezer Scrooge is undoubtedly one of the most infamous bankers to ever spring forth from the pages of a book. “Hard and sharp as flint, from which no steel had ever struck out generous fire; secret, and self-contained, and solitary as an oyster.” Charles Dickens, A Christmas Carol, 1843 Althou

NatWest announces trial of TCC’s RegTech solution Recordsure!

Insight — 29/06/17
NatWest is trialling technology to give customers confidence they are getting the best possible information and advice. The bank has partnered with Recordsure and is exploring how its RegTech recording and analysis solution could be used to improve and monitor the quality of information and advice p

Is The Age of Ultra-Niche, Tech-Savvy Compliance Officers on its Way?

Insight — 01/12/16
There has been some speculation that MiFID II will require compliance professionals to develop complex technical skills alongside deep subject-matter expertise. We examine the reality of this predicted rise in ultra-niche, tech-savvy compliance officers. MiFID II presents both a compliance chal

Perspectives on Plugging the ‘Advice Gap’

Insight — 24/11/16
After a YouGov poll earlier this year revealed just 8% of UK adults regularly engage a financial advisor, steps are being taken to address the growing “advice gap”. Of course, the focus for the Government and the FCA is firmly on the barriers to accessing financial advice – primarily, the affo