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…
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..
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…
Which Regulatory Software Suppliers Should Firms Trust? T&C News
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?
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…
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…
IT & Cyber Security – Why IT Matters & What Should You Expect Of Software 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 […]
SM&CR Roundtable Discussion
First published in Risk & Compliance magazine, this article discusses the challenges of implementing SMCR from a variety of perspectives…
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.