Making RegTech fit for today’s regulatory demands
The term RegTech was first coined by the UK’s Financial Conduct Authority (FCA) in 2015 who called it: “A subset of fintech that focuses on technologies that may facilitate the delivery of […]
Reviewing the fitness of your T&C arrangements – Part 3
Training & Competence (T&C) has been a regulatory requirement of the Financial Conduct Authority (FCA) since the late 1990s. As such, it doesn’t attract headlines like more recent regulatory initiatives. […]
Reviewing the fitness of your T&C arrangements – Part 2
Training & Competence (T&C) has been a regulatory requirement of the Financial Conduct Authority (FCA) since the late 1990’s. As such, it doesn’t grab the headlines the way more recent […]
Reviewing the fitness of your T&C arrangements – Part 1
In my last blog “Nature or Nurture – the role of T&C in a modern financial services company” I touched on the importance of a ‘culture of learning’, the differences […]
Nature or nurture? The role of T&C in a modern financial services company
An industry that nurtures active debate over its important issues must surely be a healthy one. Consumer Duty is certainly attempting to encourage that same kind of culture within Financial […]
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 the IA’s research into the Future World Of Work, I will continue to examine the […]
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 of professionals to consider what the world of work may well look like now the […]
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 Regime (SM&CR) requirements into ‘Business as Usual’ but what exactly does this look like? As […]
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.
How Fit For Purpose Are Your T&C Arrangements – Part 1
Training & Competence (T&C) has been a regulatory requirement of the Financial Conduct Authority (FCA) since the late 1990’s. As such, it doesn’t grab the headlines the way more recent […]