Compliance Insights Articles

Oct 25, 2018

Insurance Firms and The Duty of Responsibility Under SM&CR

With the commencement date looming, insurance firms should be well within the final stretch of their preparation for the new Senior...

What Insurance Firms Need to Know About the Incoming SM&CR

Robert Bell

Sep 26, 2018

What Insurance Firms Need to Know About the Incoming SM&CR

Insurance firms are gearing up for the implementation of the Senior Managers and Certification Regime on 10 December this year. The SM&CR...

Claims Management Companies and Upcoming FCA Regulation

Victoria Bell

Sep 5, 2018

Claims Management Companies and Upcoming FCA Regulation

Following the Brady Review, commissioned in 2015 to examine the nature of issues in the claims management market, the government has...

Preparing for the Senior Managers and Certification Regime

Victoria Bell

Aug 1, 2018

Preparing for the Senior Managers and Certification Regime

The FCA have now published the ‘near-final’ draft rules for the Senior Managers and Certification Regime (SM&CR), which currently only...

It's Not Too Late to Take GDPR Action - 5 Easy Steps To Get Started

Robert Bell

May 9, 2018

It's Not Too Late to Take GDPR Action - 5 Easy Steps To Get Started

It’s never too late to take action on GDPR. As recently as March 2018, just 5% of EU companies believed they were compliant with all of...

The GDPR Clock is Ticking: What SME's Need to Know

Victoria Bell

May 2, 2018

The GDPR Clock is Ticking: What SME's Need to Know

With just twenty-four days to go until GDPR is enforced in the UK, now is the time to review your compliance and ensure any last-minute...

GDPR 8 Rights - What Your Team Needs to Know

Robert Bell

Apr 24, 2018

GDPR 8 Rights - What Your Team Needs to Know

The count-down to GDPR continues, with only a few weeks now before the implementation date. If you are an avid reader of our articles you...

Victoria Bell

Apr 10, 2018

Risks of Non-Compliance to GDPR

There have been plenty of articles about the risks and consequences of non-compliance, with most focusing on the maximum penalties, and a...

GDPR is All About Evolution, Not Revolution

Robert Bell

Apr 4, 2018

GDPR is All About Evolution, Not Revolution

Out with the old and in with the new. The rules relating to Data Protection are about to see the most dramatic change in years, if not...

Ofcom Rule Changes: Knock On Effect for Debt Collection

Robert Bell

Jan 30, 2018

Ofcom Rule Changes: Knock On Effect for Debt Collection

The UK’s communications regulator, Ofcom, published a Statement and Consultation paper setting out the review of its General Conditions...

GDPR – The Role of Your Data Protection Policy

Robert Bell

Jan 23, 2018

GDPR – The Role of Your Data Protection Policy

One question I have been asked recently is “what should be in our GDPR compliant Data Protection Policy?” In fact, it’s something I have...

Robert Bell

Jan 18, 2018

Regulatory Horizon for 2018

2018 promises to be a bumper year for compliance. I can hear what you are thinking, you’ll be muttering, “Isn’t it always?” Seriously,...

Transitioning FCA firms and individuals to the Senior Managers & Certification Regime: Important

Victoria Bell

Dec 19, 2017

Transitioning FCA firms and individuals to the Senior Managers & Certification Regime: Important

The Financial Conduct Authority (FCA) have published a package of proposals outlining their proposed transitional arrangements for...

Christmas bonus? Don’t fall foul of the remuneration changes

Victoria Bell

Dec 12, 2017

Christmas bonus? Don’t fall foul of the remuneration changes

Incentivising staff through bonuses and other remuneration schemes is a common practice for many firms in the sector who want to...

Does your firm need a Data Protection Officer (DPO)?

Robert Bell

Nov 28, 2017

Does your firm need a Data Protection Officer (DPO)?

The incoming General Data Protection Regulation (GDPR) will replace the current Data Protection Act 1998 when it comes into force in May...

FCA's Proposed New 'Creditworthiness' Rules: What You Need To Know

Victoria Bell

Nov 21, 2017

FCA's Proposed New 'Creditworthiness' Rules: What You Need To Know

With Q4 well under way, it’s a good idea to have any upcoming FCA policy statements at the forefront of your planning for 2018. Consumer...

What you need to know: the new fit & proper requirements in SM&CR

Victoria Bell

Nov 14, 2017

What you need to know: the new fit & proper requirements in SM&CR

The FCA’s proposed extension to the Senior Managers and Certification Regime aims to bring all FCA regulated firms under a single regime,...

Robert Bell

Nov 7, 2017

What's on the Regulatory Horizon?

Your horizon scanning has never been as important as it is right now, a time when we have significant and numerous regulatory changes...

Robert Bell

Oct 31, 2017

GDPR - The Latest Updates

You only have around 7 months remaining until GDPR comes into force! Firms are now creating the first draft of the multitude of policies...

Robert Bell

Oct 26, 2017

The Pre-Action Protocol - An Update

The Pre-Action Protocol for debt claims came into force on 1 October 2017 meaning it shouldn’t be too long until the first claims are...

Compliance Insights Newsletter

The Email Newsletter for Compliance Professionals. Sign up to get regular compliance advice, news and updates delivered straight into your inbox. Designed to help you keep your finger on the pulse on the latest developments in compliance and it’s FREE.