FCA regulated activities are described as inside or outside the FCA Perimeter of legislation, a defined perimeter set by the Government and Parliament, and it…
FCA Authorisation? Many firms ask the question whats does FCA authorised mean? They want to understand what FCA regulated activities would be involved if the…
Effective Management Information for conduct risk Management Information: The conception of “conduct risk” has risen to the top of firms’ and regulators’ agendas in the last…
Underpinning better decision-making by using effective Management information for conduct risk The principle of “conduct risk” has risen to the top of firms’ and regulators’…
The term Operational Risk Management (ORM) is not brand-new. It has been tossed about in businesses throughout North America for the last a number of…
FCA Authorisation or Registration: Payment services providers, investment firms, most financial services companies and retail credit firms have to be Financial Conduct Authority (FCA) authorised.…
Underpinning better decision-making by employing Effective Management information for conduct risk The philosophy of “conduct risk” has bubbled to the top of firms’ and regulators’…
Can You Really Afford Generic Ongoing Compliance Support? Compliance is an ambivalent function. On the one hand you are considered as the regulators’ ally inside…
Underpinning better decision-making by making use of Effective Management information for conduct risk The conception of “conduct risk” has been elevated to the top of…
Compliance is an ambivalent function. On the one hand you are viewed as the regulators’ ally inside the investment company; overseeing the implementation of their…