GDPR requires that organisations contracting with another, where this agreement includes the processing of personal data, ensure that certain clauses are included within a contract between both parties. In January 2020, the Danish Data Protection Age...

If there’s one common misconception about compliance training, it’s that the training itself – some might say like the rules and regulations – must also be stiff, dull and uninspiring. There is a lot to learn when it comes to financial services compl...

I’m sure you’ll recognise this scenario: A member of staff joins a financial services firm, they receive a first rate induction compliance training course lasting 2-4 weeks and containing a good mix of class based learning blended with practical, on...

As we get stuck into 2020, let's take a look at what’s coming up from the FCA.

Dear CEO Letter – Non-Financial Misconduct

The Senior Managers and Certification Regime is now rolled out to most firms within the industry, and the FCA are keeping a close...

The past two years have brought a whirlwind of new regulatory requirements, guidance and legislation that financial services firms have had to keep up with. But this doesn’t make the existing regs any less important – in fact, some of the new require...

High on the FCA’s cross-sector priorities for 2019/20 is ‘operational resilience’. The Regulator has recently turned its attention to technological changes and advances, particularly where these might impact on consumers or on regulator supervision,...

With vulnerability high on the FCA’s agenda for 2020, financial services firms have an eye on its new guidance document, which seeks to clarify what the regulator expects to see in terms of culture, product design, staff training, and support options...