Enhancing Operational Resilience in the Financial Sector: A Comprehensive Guide Robust Cyber resilience Operational resilience is a cornerstone of stability in the financial sector. In…
SMCR Conduct Rules SMCR Conduct Rules are straightforward, however when it comes to reasonable steps, interpretation can be subjective. In the UK, the Senior Managers…
Mastering Financial Forecasts for Your FCA Application Financial Forecasts: A Crucial Element for FCA Authorisation Seeking FCA Authorisation or Registration necessitates the submission of an…
Embracing Governance Reviews: A Pathway to Excellence in Financial Services In an era of rapidly evolving financial landscapes, the importance of a robust governance review…
Ensuring Effective Control: A Guide to Reasonable Steps for Senior Managers In today’s regulatory landscape, the concept of “reasonable steps” has become pivotal for Senior…
Enhanced FCA Complaints Handling in the Era of the Consumer Duty: A Comprehensive Guide In the evolving landscape of financial services, the introduction of the…
Advanced Customer Outcome Testing: Enhancing Compliance Introduction to Customer Outcome Testing In the dynamic landscape of regulatory compliance, the significance of Customer Outcome Testing (COT) has…
FCA Complaint Handling Links FCA regulated firms are required to have internal complaint handling procedures in place. Here’s a summary of the Compliance key points:…
Conduct Risk Framework Developing a conduct risk framework involves a cyclical and comprehensive process. Initially, it is critical to Identify Key Conduct Risks. This step…
Understanding the EU’s Markets in Crypto-Asset Regulation (MiCAR) The Significance of MiCAR in Crypto Regulation The European Union’s recent enactment of the Markets in Crypto-Asset…
