Compliance Subjects Deep-Dive Podcasts
… Ebooks on a variety of issues.
Please listen or download the Podcasts and ancillary documentation.
FCA Consultations, Policy Statements etc Deep-Dive Podcasts are available ON THIS PAGE
FCA Compliance Subjects
These Ebooks are available on Amazon as well as our ECommerce Site.
Amazon availability for Kindle currently.
City Secrets - Compliance Essentials in the FCA Wind Down Plan
Download FAQs HERE!
Download Detailed Briefing Doc HERE!
Get The Ebook
Summary
This document is a handbook for compliance professionals working in the financial services industry, providing guidance on complying with the Financial Conduct Authority (FCA) Wind Down Plan. It covers a wide range of topics, including understanding FCA regulations, building effective compliance teams, conducting risk assessments, implementing compliance controls, and managing compliance challenges.
The handbook also includes case studies of successful and unsuccessful wind down plans, providing valuable insights and lessons learned.
Navigating Regulated Complaints
A guide to effective management & Compliance
Download FAQs HERE!
Download Detailed Briefing Doc HERE!
Get The Ebook
Summary
This document is a guide to the Financial Conduct Authority (FCA) complaints management for UK financial services firms. It covers what constitutes a complaint, how to handle them in line with FCA requirements, the significance of independent complaints management services, the importance of transparency and accountability in reporting, and the need for redress and remedies. The guide also explores the referral process to the Financial Ombudsman Service (FOS) and includes best practices, case studies, and frequently asked questions. The document is written in an engaging and conversational style, using relatable analogies and practical advice. It aims to empower compliance officers, customer service teams, and senior management with the knowledge and skills needed to effectively manage complaints and uphold the highest standards of customer service and corporate integrity.
Building a Culture of Compliance
Download FAQs HERE!
Download Detailed Briefing Doc HERE!
Get The Ebook
Summary
This book provides financial professionals in the UK with best practices for building and maintaining a culture of compliance, ethics and integrity within their organisations. It covers the regulatory framework in the UK, the importance of a strong compliance culture, how to build such a culture within an organisation, and the consequences of unethical behaviour. It also discusses the role of leadership and management in promoting ethics and integrity, the importance of communication and training, the benefits of monitoring and reporting, and the need for continuous improvement. The text also includes case studies of companies with strong and weak compliance cultures, ethics and integrity, highlighting lessons learned from both successful and unsuccessful organisations.
The book concludes with a call to action for financial professionals, urging them to take a proactive approach to compliance and build a culture of integrity within their organisations.
Protecting Vulnerable Clients
Download FAQs HERE!
Download Detailed Briefing Doc HERE!
Get The FR*EE eBook
Summary
This document is a handbook for senior management in the financial services industry, particularly in the UK, on how to comply with regulations set by the Financial Conduct Authority (FCA) in their dealings with vulnerable clients. It explains the definition of vulnerability, why it is important to identify and support vulnerable customers, and gives guidance on policies, procedures, and best practices to follow when working with these individuals. It also looks towards the future, noting the role technology will play in helping businesses manage these situations
