Achieving Excellence in Challenges of Regulatory Changes in Compliance. Challenges of Regulatory Changes: In the evolving landscape of the financial services industry, maintaining regulatory compliance represents…
FCA Change In Control: Navigating Regulatory Requirements for Financial Services Firms (Compliance Quick Learning Tips) This book provides an overview of the FCA’s change of…
Effective Governance: Importance of Board Minutes in Financial Services In an era where transparency and regulatory compliance are key, “Effective Governance: Importance of Board Minutes…
Still Looking For The Elusive Governance Review Template, Trying To Find A Governance Review Process, Or Need An External Review Of Governance? The FCA expect…
What Your FCA/PRA Regulatory Business Plan Needs To Contain and How To Start A Business Plan The aim of this document is to help firms meet…
Consumer Duty Final Guidance Consumer Duty, What Is It All About? First formally proposed in May 2021, the Consumer Duty, as published on 27 July…
Committee Terms of Reference (TOR) WHAT ARE TERMS OF REFERENCE? DO YOU NEED THEM? Terms of Reference (TOR) form a foundation stone for the commencement…
The Back-Office System & Procedures Bringing in clients (New Business) seems to be the most exciting thing there is, right? That’s why there are so…
Annual Policy Review Best practice for all governance is at least an annual review of policies and Terms of Reference. Policies should be reviewed by…
Compliance Annual Reporting Annual Compliance Report Providing a written annual compliance report to board of directors in respect of compliance on an at least annual…