Insurance Compliance

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.

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.

The FCA has announced its new data collection platform, RegData, which replaces Gabriel, and explains how firms will be moved across to the new platform.

The FCA has published finalised guidance on a framework to help financial services firms ensure they have adequate financial resources and to take effective steps to minimise harm.

The coronavirus pandemic has tested nearly all businesses on their ability to deal with the unexpected. Failure to be prepared can prove devastating to a business, which is why business continuity planning is so important.

In a recent speech, the FCA has outlined its response to the Covid-19 pandemic and its expectations for 2020.

The FCA has provided an update on the progress of its court action on business interruption insurance policies, following the announcement in May that it was seeking legal clarity to help resolve doubt for those businesses facing uncertainty on their claims.

The FCA has published guidance for firms on its expectations regarding CPD during the coronavirus pandemic. This article outlines the exceptional circumstances which would allow firms to defer individuals’ CPD to the next CPD year as well as how firms can help staff continue their CPD.

A consequence of the coronavirus pandemic is that we must adapt how we work, but will this result in the big changes that some are predicting? Tom Wood explores some of the overlooked challenges the crisis has presented.