The FCA is beginning the process of transferring Gabriel users to the new RegData platform.
Fostering Positive Organisational Culture in a Changing World
Covid-19 has caused a radical change to our working lives. What impact will the pandemic have on organisational culture in financial services?
FCA Sets Out New Guidance on Vulnerable Customers
The FCA has recently set out new best practice guidance to help firms do more to protect vulnerable consumers.
FCA Launches Enhanced Financial Services Register
The FCA has launched its updated and enhanced Financial Services Register to protect consumers.
FCA Consulting on Extending Deadlines for the Certification Regime and Conduct Rules
The FCA has published a consultation paper on extending the implementation deadlines for the Certification Regime and Conduct Rules.
The Many Roles of a Compliance Consultant
A compliance consultant is a familiar term within the general insurance sector, but what does the role actually involve, and how many metaphorical ‘hats’ does a consultant have to don?
'Span of Control' - What Firms Need to Know
What is a ‘span of control’? Kirk Ford explains why this remains a question that few firms can effectively answer.
Supervision – File Reviews, Live Observations and KPIs
During these unprecedented times, the FCA expects firms to ensure that monitoring and supervision of staff is ‘business as usual’. Kirk Ford looks at what robust supervision procedures should involve.
Whistleblowing - Be Prepared
Does your firm have a suitable whistleblowing policy in place? Uncertain market and economic conditions may lead to an increase in incidents so it’s worthwhile that all firms review their approach to whistleblowing. This article looks at the key considerations.