Decode inherent risk in the FCA context, show how it differs from residual risk, and walk through a simple identify-assess-control workflow firms can apply to…
Explain what the Financial Conduct Authority is, what it regulates, and what it means to be an FCA-regulated firm – written for owners and directors…
A clear how-to on the Senior Managers and Certification Regime for smaller firms – which roles are prescribed, how to allocate Senior Manager Functions, the…
A listicle of the core monitoring checks – client file testing, transaction monitoring reviews, complaints and whistleblowing dips, CASS reconciliation, and SMCR conduct – giving…
Mid-sized UK investment firms are being asked to evidence ICARA stress testing, Consumer Duty outcomes, new non-financial misconduct standards and operational resilience at the same…
Most UK financial firms measure only direct compliance spend, around 2.6% of operating costs. TheCityUK and PwC put the true burden above 13%. We break…
Your compliance officer resigns on Friday. Who files your FCA returns on Monday? For mid-sized investment firms, one in-house hire costs £90,000+ in year one…
At Compliance Consultant, we regularly see mid-sized financial services firms struggle to translate raw customer grievances into actionable board-level Management Information (MI). A board pack…
Collecting data, listing operational metrics, or reporting raw complaint volumes will not show the Financial Conduct Authority whether your retail customers are receiving good outcomes…
PS26/6 lets firms issue certificates by email, fold recertification into appraisal and streamline reviews where nothing has changed. HM Treasury plans to remove the Certification…
