Breaking down the new Consumer Duty
The newly proposed Consumer Duty (CD) is a topic on everyone’s agenda at the moment. With an increased focus on the end consumer and a key consideration being how firms […]
Diversity and inclusion on company boards and executive management – So, what’s actually changing?
With diversity & Inclusion (D&I) being an important part of the culture in any firm, the FCA have recently published their final policy statement in respect of D&I as set […]
SM&CR – Is the regime in your organisation delivering what the regulator would expect to see?
SM&CR has been with us as an industry since 2016 now for those in Banking & Insurance and 2018/19 for Solo Regulated firms. How has it been for you? When […]
FinTech, RegTech, InsurTech, WealthTech How do firms navigate an ever more complex landscape?
In a Sector that loves acronyms, abbreviations, labels and generating “new” and exciting names for existing things, the most exciting thing for me is the rise in recognition of Tech […]
Regulatory Initiatives Grid 2022 – what is this years’ focus?
It’s that time again! The updated version of the current range of regulatory initiatives in play was recently published on the websites of both the PRA and the FCA. Regulatory […]
21st Annual Complaints Management Forum
The Largest and Most Inclusive Financial Services Complaints Management Event on the Market Navigate and improve the complaints handling process, implement industry-leading strategies into your team, and stay ahead of […]
Worksmart included in the 4th annual WealthTech100 list 2022!
Fourth annual WealthTech100 list announced to recognise the tech companies transforming the global investment and banking industries The new WealthTech100 list for 2022 was launched today by specialist research firm […]
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 of Ireland (CBI), will know that the Individual Accountability Framework Bill was initially published for […]
SMCR – Haven’t we nailed it yet?
In a time where it is clearly becoming more challenging for compliance teams to keep on top of an ever-changing regulatory landscape, one thing that strikes me is that regulated […]
Annual Regulatory Forum 2022 – Singapore
On a misty Friday morning here in the UK, I had the pleasure of attending (albeit virtually) the annual regulatory forum organised by IMAS for the Investment Management industry in […]