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…
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Most regulated firms that hired a compliance consultant last year did not get burned by bad advice. They got burned by consultants who sold operational…
In the Financial Conduct Authority’s review of Year 2 Consumer Duty Board reports, a clear pattern emerged: having a vulnerable customer policy on file is…
Grading your own homework will no longer satisfy the regulator’s fair value requirements. If your firm’s latest Consumer Duty board report relies entirely on internal…
Why a Compliance Consultant? A full-time compliance manager now costs over £100,000 annually when factoring in base salary, employer National Insurance, and pension contributions. For…
Most financial firms try to satisfy the PRA’s operational resilience framework by simply dusting off their old Business Continuity Plans (BCP). This is a mistake…
The £28.9 million fine handed to Starling Bank in late 2024 was not the result of a missing document or a poorly formatted PDF. It…
Appointed Representative Oversight Policy & Playbook | Compliance Consultant SUP 12 • PS22/11 • Consumer Duty Aligned Appointed Representative Oversight Policy & Playbook The complete…
Compliance Risk Register Template with Heat Mapping | Compliance Consultant Instant Download Compliance Risk Register with Heat Mapping See every compliance risk at a glance.…
