Insights
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 ...
Julie Pardy07/03/2022
SMCR – Haven’t we nailed it yet?
In a time where it is clearly becoming more challenging for compliance teams to keep ...
Julie Pardy02/02/2022
Annual Regulatory Forum 2022 – Singapore
On a misty Friday morning here in the UK, I had the pleasure of attending ...
Julie Pardy31/01/2022
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 ...
Caroline Wells18/01/2022
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 ...
Sarah Lawrence18/01/2022
The Changing Face of Vulnerability – A Year On
The changing face of vulnerability When Worksmart first asked me if I’d write about 2021 ...
Caroline Wells14/01/2022
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 ...
Julie Pardy04/01/2022
Culture and Conduct Risk Considerations – An Ongoing Journey
How interesting it is to learn that firms seem to be so confident about justifying ...
Nic Dent04/01/2022
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 ...
Julie Pardy23/12/2021
Regulatory Round Up Of 2021
In many ways I can’t help feeling that 2021 has been a bit of a ...
Sarah Lawrence21/12/2021
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 ...
Sam Hall25/10/2021
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 ...
Julie Pardy22/10/2021
What is RegTech?
Over the years RegTech has become the new way in which to describe technology that ...
Julie Pardy05/10/2021
Is your Regulatory Reporting showing you up?
A strange way to start a blog – or is it? For those of you ...
Julie Pardy28/09/2021
ESG – So what is it all about?
As the world of Financial Services grows more complex by the year, especially when you ...
Julie Pardy08/09/2021
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 ...
Julie Pardy18/08/2021
The Future World Of Work – Why Personal Development Is Critical To Future Business Success – Part 2
Leading on from my last blog, which I was asked to write as part of ...
Julie Pardy15/07/2021
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 ...
Julie Pardy15/07/2021
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 ...
Emma Howell30/06/2021
Trust and Consumer Protection
We often talk about gaining or earning someone’s trust, but the interesting thing about those ...
Sarah Lawrence23/06/2021
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 ...
Sarah Lawrence17/06/2021
Innovation And Vulnerability – Can They Co-Exist?
My curiosity was piqued this week when I came across two speeches from the FCA ...
Sarah Lawrence09/06/2021
The FCA’s New Direction – Outcomes Focused Regulation
I think we can all agree that a crystal ball would be about the most ...
Sarah Lawrence09/06/2021
IAC-Singapore – From The Award-Winning Team At Worksmart
As stronger governance arrangements within organisations and the accountability of senior leaders becomes critical components ...
Julie Pardy28/05/2021
Predictions For 2021 – Automating SM&CR
Well, let’s start by saying that 2021 surely can’t be any more challenging than 2020?! ...
Emma Howell06/05/2021
Predictions For 2021 – Conduct And Culture Change
Looking forward into 2021, I see further momentum building for the two major trends the ...
Nic Dent05/05/2021
Predictions For 2021 – Technology
The last year has shown us several challenges in the areas of product development and ...
Andy Bower27/04/2021
Predictions For 2021 – Regulation And RegTech
2020 was a tumultuous year for most, not least our Regulators. Firms were challenged by ...
Julie Pardy15/04/2021
Predictions For 2021 – IT and Data Security
In recent years we have seen an increasing focus by firms regarding their information security ...
Andy Nightingale12/04/2021
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 ...
Sarah Lawrence04/04/2021
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 ...
Sarah Lawrence31/03/2021
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 ...
Julie Pardy30/03/2021
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 ...
Sarah Lawrence24/03/2021
Time To Rethink How We Manage SM&CR?
We’ve talked about it for several years and now the final tranche of firms should ...
Julie Pardy23/03/2021
Fraud And Scams – The Growth Industry Of 2021
If ever there was a growth industry in 2020, it’s fraud. According to Experian, the ...
Sarah Lawrence17/03/2021
Implementing Technology Change – FCA Review
I read with interest the most recent report from the FCA on implementing technology, which ...
Julie Pardy16/03/2021
New Vulnerability In 2021
As we start to look forwards into 2021, we can’t talk about horizon scanning without ...
Sarah Lawrence10/03/2021
Consumer Credit’s Elephant Sized Problem!
I don’t think it’s any coincidence that I’m sat here writing a blog all about ...
Sarah Lawrence03/03/2021
SM&CR As A Journey – Are We There Yet?
On Thursday the 4th February, I was invited by the TISA team to speak at ...
Julie Pardy11/02/2021
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 ...
Julie Pardy28/01/2021
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 ...
Julie Pardy11/01/2021
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. ...
Julie Pardy15/12/2020
A Wake-Up Call For Claims Management Companies (CMC)
The FCA took over responsibility for overseeing the activities of the claims management sector from ...
Julie Pardy13/11/2020
Conduct, Data & Competence – What’s Happening?
Certification, Conduct Rules Training, Directory Data and Conduct Rules Breach Reporting; are you ready and ...
Julie Pardy03/09/2020
“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 ...
Peter Griffiths10/08/2020
Worksmart Scoop Four Major Awards
The team at Worksmart are delighted to announce that we have won in four categories ...
Peter Griffiths04/08/2020
SM&CR, The Investment Association & The FCA
On a very hot and sunny Tuesday in June, I was delighted to be invited ...
Julie Pardy03/07/2020
Implementing Certification In Solo-Regulated Firms – The Challenges & Priorities
On Thursday 4th June, 2020, Julie Pardy, Director of Regulation & Market Engagement (Worksmart) joined ...
Julie Pardy29/06/2020
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) ...
Julie Pardy23/06/2020
PIMFA Virtual Fest – Thriving In Extraordinary Times
The world of work has changed beyond recognition for most of us over the last ...
Julie Pardy11/06/2020
#6 Avoiding Referrals To The Financial Ombudsman Service
In the sixth of our series of guest blogs on key issues for complaints handling, ...
Sarah Lawrence09/06/2020
Pointers For Call Centre Staff & Businesses Facing COVID-19
Flexibility Is Key Life is very different now from what it was just a few ...
Julie Pardy09/06/2020
#5 Achieving Consistency In Complaints Handling
In the fifth of our series of guest blogs on key issues for complaints handling, ...
Sarah Lawrence08/06/2020
#4 Are You Catching All Complaints?
In the fourth of our series of guest blogs on key issues for complaints handling, ...
Sarah Lawrence05/06/2020
#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 ...
Sarah Lawrence04/06/2020
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 ...
Julie Pardy04/06/2020
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 ...
Julie Pardy26/05/2020
How Firms Should Handle Complaints During Coronavirus
Never has operational resilience been more important 60% of the UK population has suddenly been ...
Sarah Lawrence21/05/2020
COVID-19, SM&CR And Regulatory flexibility!
Pandemic, Senior Manager Accountabilities and flexibility are not really a selection of words that anyone ...
Julie Pardy05/05/2020
#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 ...
Sarah Lawrence02/03/2020
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