Insights

Worksmart Articles

FCA Business plan 2021-22: A new era for regulation

The 2021-22 Business Plan heralds a new era for regulation in UK financial services. Gone is the ‘light touch’, reactive and, arguably, slow pace of previous regimes. Read Julie’s article which examines the key points of the plan….

Note – this article as first published in the October ’21 digital edition of T&C News

October 5, 2021

Julie Pardy

Is the FCA developing teeth and beginning to become an enforcer after all?

There are some counter indicators that point out that the FCA is moving forwards towards better control of the industry. Read Julie’s article which indicates what the FCA is now focusing on….

Note – this article as first published in the July ’21 digital edition of T&C News

July 2, 2021

Julie Pardy

P.R.A. Review Of SM&CR - What Can We Learn?

In December, the PRA published the results of it’s research into the implementation of SM&CR in dual-regulated firms. Read Julie’s article to understand the PRA’s key findings and what we can all learn from it…

Note – this article as first published in the April ’21 digital edition of T&C News

April 7, 2021

Julie Pardy

SMCR A Welcome Delay To Final Implementation For Many

First published in PIMFA’s quarterly journal, this article discusses the opportunities & challenges of the delay to the SMCR deadline…

November 6, 2020

Julie Pardy

Operational Resilience: The Tipping Point To A Better World?

Recently published in T&C News, we discuss the challenges posed by the FCA’s focus on Operational Resilience & suggest ways to move forward..

October 28, 2020

Julie Pardy

The Directory – Coming to you in 2020!

First published in T&C News, this article discusses the opportunities & challenges of implementing the FCA’s Directory regulation…

October 28, 2020

Julie Pardy

Which Regulatory Software Suppliers Should Firms Trust?

First published in T&C News – With the FCA’s focus on RegTech, firms are being encouraged to partner with solution suppliers, but which ones can you trust?

October 28, 2020

Andy Nightingale

Changing Culture In Firms – Why Complaints Will Become Important

First published in Finance Monthly, this article discusses the FCA’s intended focus on complaints as a measure of culture change and SM&CR and provides suggestions to help…

October 28, 2020

Julie Pardy

Steering Certification Through Lockdown

First published in T&C News, this article discusses the challenges of managing Certification through Covid and provides some helpful advice…

October 28, 2020

Julie Pardy

IT & Cyber Security – Why It Matters & What To Expect Of Your Sofware Suppliers

First published in T&C News – The changing expectations of financial services firms surrounding IT and cyber security and what that means for both financial services firms and their software suppliers.

October 28, 2020

Andy Nightingale

SM&CR Roundtable Discussion

First published in Risk & Compliance magazine, this article discusses the challenges of implementing SMCR from a variety of perspectives…

October 10, 2020

Julie Pardy

Making Training & Competence Work

First published in Finance Monthly, this article considers T & C in the context of firms small and large and whether arrangements should be the same or different.

October 08, 2020

Julie Pardy