Constant reminders by The FCA on the importance of Culture is challenging leaders of regulated financial firms to move from saying, “We need to measure Culture“ to asking “What are we doing to measure Culture?” But where and how do firms start measuring Culture effectively in 2021? In this FREE 60 minute webinar, Julie Pardy, […]
Operational resilience has been thrust higher up the regulatory agenda over the last 12/18 months as firms and individuals alike have had to completely re-engineer the way they have operated through the Covid crisis. The financial services regulators have for some time now identified Operational Resilience as a cross-sector issue and it has been a […]
Just when firms thought they could catch their breath; satisfied that key culture risks had been controlled during COVID-19, they’ve had to quickly turn their attention to meet greater regulatory scrutiny on financial misconduct, get on top of whistleblowing in a hybrid work environment and rethink their approach to diversity and inclusion (D&I). The end […]
Regulation, Data and Tech – How they can work in harmony? The regulatory landscape is changing all of the time. The publication of the Regulatory Initiatives Grid will have brought home to many how ever more complex the regulatory landscape is becoming. As the FCA are developing their plans to become a “Data Led” regulator, […]
A new Consumer Duty to be introduced by the Financial Conduct Authority (FCA) in July requires firms with retail clients to review almost every aspect of the relationship with their consumers. The regulator’s not standing on ceremony; holding senior managers accountable if firms don't put consumers at the heart of what they do and embed […]
The new Consumer Duty proposed by the FCA will place the responsibilities of a firm to avoid foreseeable customer harm squarely on the shoulders of Senior Managers and board members. There's no ifs or buts on this as the regulator plans to hold Senior Managers accountable for assessing whether the firm is delivering good outcomes […]
FCA plan and priorities for 2022/23 Now that the FCA’s Business Plan has been issued, the Worksmart team (and guests) will be discussing and debating the critical regulatory topics for firms to consider in 22/23. Under the leadership of Nikhil Rathi, CEO, it is fair to say that the first year of his tenure has […]
The newly proposed Consumer Duty (CD) is a topic on everyone's agenda for quite some time and now it's finally here with a bang – with boards being required to approve their firm’s implementation plans by the end of October 2022. However, with proper planning, ensuring compliance with the new higher standards doesn’t need to […]
In light of the news of the passing of Her Majesty Queen Elizabeth II, this webinar has been postponed. We apologize for any inconvenience this may have caused. Worksmart are excited to be part of the upcoming event in partnership with Legal & General Mortgage Club. Following on from the two CP’s published by […]