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Worksmart Blogs

Individual Accountability Frameworks – The Regulatory Spotlight turns to Ireland and SEAR

For those UK based organisations that have been closely watching developments from the Central Bank ...

SMCR – Haven’t we nailed it yet?

In a time where it is clearly becoming more challenging for compliance teams to keep ...

Annual Regulatory Forum 2022 – Singapore

On a misty Friday morning here in the UK, I had the pleasure of attending ...

Learning the lessons….. Can things really be different in 2022?

Can things really be different in 2022?  Whether you were partying like it was 1999 ...

What should regulated firms and their teams be looking out for in 2022?

It’s always at this time of year that we seem collectively to draw a line ...

The Changing Face of Vulnerability – A Year On

The changing face of vulnerability When Worksmart first asked me if I’d write about 2021 ...

IAC Singapore – What does your approach to managing your accountability regime say about your commitment to this new regulation?

On Wednesday 17th November, the Worksmart team joined colleagues around the globe to discuss our ...

Culture and Conduct Risk Considerations – An Ongoing Journey

How interesting it is to learn that firms seem to be so confident about justifying ...

Financial Services Regulatory Initiatives Forum Sets Out the Regulatory Pipeline

When this latest edition dropped into circulation, whilst relieved to see every current regulatory initiative ...

Regulatory Round Up Of 2021

In many ways I can’t help feeling that 2021 has been a bit of a ...

Shiny Shoes and Progressive People! PIMFA Diversity & Inclusion Awards 2021

I read in an article recently that a diverse and inclusive workplace is one that ...

We’re back in person – finally! Global RegTech Summit 2021

Back to face-to-face events – what a treat! At short notice, I stood in for ...

What is RegTech?

Over the years RegTech has become the new way in which to describe technology that ...

Is your Regulatory Reporting showing you up?

A strange way to start a blog – or is it? For those of you ...

ESG – So what is it all about?

As the world of Financial Services grows more complex by the year, especially when you ...

FCA Business Plan 2021/22 – A Tech Focused Business Plan

The hotly anticipated FCA Business Plan 2021/22 was finally published on the FCA website on ...

The Future World Of Work – Why Personal Development Is Critical To Future Business Success

As the world emerges into the post-Covid world, the Investment Association (IA) asked a number ...

SM&CR – Tick Box Exercise or Foundation for Cultural Change?

FCA solo regulated firms are now completing the transition of the Senior Managers and Certification ...

Trust and Consumer Protection

We often talk about gaining or earning someone’s trust, but the interesting thing about those ...

The FCA Walking their Talk

This may not have necessarily have hit your radar, but did you know that since 2016, the FCA has been ...

Innovation And Vulnerability – Can They Co-Exist?

My curiosity was piqued this week when I came across two speeches from the FCA ...

The FCA’s New Direction – Outcomes Focused Regulation

I think we can all agree that a crystal ball would be about the most ...

IAC-Singapore – From The Award-Winning Team At Worksmart

As stronger governance arrangements within organisations and the accountability of senior leaders becomes critical components ...

Predictions For 2021 – Automating SM&CR

Well, let’s start by saying that 2021 surely can’t be any more challenging than 2020?! ...

Predictions For 2021 – Conduct And Culture Change

Looking forward into 2021, I see further momentum building for the two major trends the ...

Predictions For 2021 – Technology

The last year has shown us several challenges in the areas of product development and ...

Predictions For 2021 – Regulation And RegTech

2020 was a tumultuous year for most, not least our Regulators.  Firms were challenged by ...

Predictions For 2021 – IT and Data Security

In recent years we have seen an increasing focus by firms regarding their information security ...

When A Process Is Broke, Then It’s Definitely Time To Fix It

As I bring this series of guest blog posts for Worksmart to a close, I ...

Stopping Groundhog Day: The FCA’s Plans For Cultural Change

I’ve been in financial services for longer than I care to mention and to be ...

Everything You Do Tells The Regulator Something About Your Cultural Make Up!

For those regular visitors to our Website, they will know that we take a keen ...

Fairness And Consistency, The Hardy Perennial Of Complaints Handling

If you were to ask me, what are the two key concepts that businesses don’t ...

Time To Rethink How We Manage SM&CR?

We’ve talked about it for several years and now the final tranche of firms should ...

Fraud And Scams – The Growth Industry Of 2021

If ever there was a growth industry in 2020, it’s fraud. According to Experian, the ...

Implementing Technology Change – FCA Review

I read with interest the most recent report from the FCA on implementing technology, which ...

New Vulnerability In 2021

As we start to look forwards into 2021, we can’t talk about horizon scanning without ...

Consumer Credit’s Elephant Sized Problem!

I don’t think it’s any coincidence that I’m sat here writing a blog all about ...

SM&CR As A Journey – Are We There Yet?

On Thursday the 4th February, I was invited by the TISA team to speak at ...

Making Training & Competence (T&C) Work For You Post Certification

In response to significant customer interest, the Worksmart team ran a webinar on Tuesday 24th ...

2020 – Well That Wasn’t The Year We Expected, And I’m Not Talking About Covid!

Well, before any of us had even heard of Covid-19, those of us watching and ...

Living With SMCR And The Directory- What’s Challenging Firms Right Now?

In recent weeks, Worksmart co-presented webinars on SM&CR for two of our trade association partners. ...

A Wake-Up Call For Claims Management Companies (CMC)

The FCA took over responsibility for overseeing the activities of the claims management sector from ...

Conduct, Data & Competence – What’s Happening?

Certification, Conduct Rules Training, Directory Data and Conduct Rules Breach Reporting; are you ready and ...

“Home Working Is Likely To Increase The Risk Of Conduct Related Issues”

On Wednesday 17th June, 2020, Julie Pardy, Director of Regulation & Market Engagement (Worksmart) joined ...

Worksmart Scoop Four Major Awards

The team at Worksmart are delighted to announce that we have won in four categories ...

SM&CR, The Investment Association & The FCA

On a very hot and sunny Tuesday in June, I was delighted to be invited ...

Implementing Certification In Solo-Regulated Firms – The Challenges & Priorities

On Thursday 4th June, 2020, Julie Pardy, Director of Regulation & Market Engagement (Worksmart) joined ...

SM&CR professionals pivot for COVID-19, but how confident are they now?

On Thursday 28th May 2020, Philip Allen (Innovate Learn), Adrian Harvey (CEO, Elephants don’t forget) ...

PIMFA Virtual Fest – Thriving In Extraordinary Times

The world of work has changed beyond recognition for most of us over the last ...

#6 Avoiding Referrals To The Financial Ombudsman Service

In the sixth of our series of guest blogs on key issues for complaints handling, ...

Pointers For Call Centre Staff & Businesses Facing COVID-19

Flexibility Is Key Life is very different now from what it was just a few ...

#5 Achieving Consistency In Complaints Handling

In the fifth of our series of guest blogs on key issues for complaints handling, ...

#4 Are You Catching All Complaints?

In the fourth of our series of guest blogs on key issues for complaints handling, ...

#3 The Difference Between A Good & A Great Complaint Handler

In the third of our series of guest blogs on key issues for complaints handling ...

Polling Results Reveal Pressure At Our SM&CR Virtual Breakfast

On Tuesday 19th May, 2020, Marian Bloodworth (HR Lawyer, Kemp Little) and Julie Pardy, Emma ...

Smaller Firms – In The Shadows Or Under The Spotlight?

I’ve heard it said before  “The FCA have got bigger fish to fry, they aren’t ...

How Firms Should Handle Complaints During Coronavirus

Never has operational resilience been more important 60% of the UK population has suddenly been ...

COVID-19, SM&CR And Regulatory flexibility!

Pandemic, Senior Manager Accountabilities and flexibility are not really a selection of words that anyone ...

#2 Complaints Handling. Meeting Consumer Expectations In A New Decade

In the second of our series of guest blogs on key issues for complaints handling ...
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