Highest FCA Fines of 2022

The FCA has been slow to hand out fines this year, with three fines issued thus far. We've analysed the nature of these breaches and […]

Understanding the FCA Code of Conduct

Regulators now expect employees in all financial firms to comply with the FCA Code of Conduct. Failure to do so will result in fines. Is […]

Understanding FCA Operational Resilience

Those regulated by the FCA are now expected to have identified vulnerabilities in their operational resilience. But where do you start?

SMCR Scenario Tests

By using practical examples that reflect real-world SMCR dilemmas you can ensure that staff know how to apply what they have learned in training.

How to Stop SMCR Training Demotivating Staff

When the SMCR created a step-change in personal accountability, it caused a headache, especially for those who've never been accountable before.

Top 10 Financial Services Compliance Issues in 2022

We discuss the major compliance issues facing the financial services industry in 2022 from data, due diligence, IFPR, mitigations and systems to the SMCR.

Meeting SMCR Expectations

By understanding the aims of the FCA that underpin the SMCR, you can better meet its expectations. But what are these aims?

Creating a Vulnerable Customer Policy

Consumer vulnerability in the UK has received a great deal of attention over the last few years. It's especially important in times of disruption or […]

Conducting Fit & Proper Person Tests

The autumn is often when preparations often begin for annual reassessments of fitness and propriety for Senior Managers (SMFs) and Certified Persons.

SMCR & Non-financial Misconduct

A lack of public confidence and some damaging press stories have renewed the FCA's focus on conduct, including non-financial misconduct.

Financial Services Social Media Compliance

Financial firms are increasingly using social media to communicate information and promote products. But, how can you do so and stay compliant?

Highest FCA Fines of 2021

So far, 2021 has seen the level of FCA fines drop off a cliff. Perhaps all of that compliance training is paying off. The alternative […]

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