Compliance Insights Articles

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. ...

High on the FCA’s cross-sector priorities for 2019/20 is ‘operational resilience’. The Regulator has recently turned its attention to technological changes a...

Following the implementation of the General Data Protection Regulation eleven weeks ago, the Information Commissioner’s Office have published a suite of guid...

The Financial Conduct Authority (FCA) have published the final rules and guidance relating to staff incentives, remuneration and performance management in co...

With many changes to our working practices on the horizon it’s easy to forget the importance of understanding what to do when things go wrong. There are spec...

Many firms and organisations will be familiar with the concept of a Data Protection Impact Assessment (DPIA) – they have been recommended by the Information ...

One of the changes to be introduced under the General Data Protection Regulation (GDPR) is the requirement to report breaches to the Information Commissioner...

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 been asked more than...

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, this year promises to ...

The serious repercussions of a lack of compliance controls really came to our attention in 2017. With the Grenfell Tower tragedy and a range of misconduct al...

The FCA’s consultation on staff incentives - covering remuneration, incentive schemes and performance management – in consumer credit firms closed in early O...

As we enter into November it is probably the time of year you are planning your team’s Christmas bonus. You may decide to pay your bonus based on individual ...

Gaining oversight of the performance of your organisation is central to any FCA authorised firm, not least ensuring compliance with the Senior Management Arr...

Authorisation is the cornerstone of the Financial Conduct Authority’s (FCA) regulatory regime. When you apply for authorisation you will have to provide deta...

It has now been three and a half years since we moved from the clutches of the Office of Fair Trading to those of the Financial Conduct Authority. The transi...

The Financial Conduct Authority's (FCA) consultation on the extension of the Senior Management and Certification Regime (SM&CR) to all firms regulated by the...

Risk management is a concept that is on everyone's radar to some extent. We've all heard of risk management, and it plays a very important part in everything...

Our Compliance Briefing this month covers, among other things, the Financial Conduct Authority's (FCA) guidance consultation on how financial services firms ...

We are all hearing a lot about the General Data Protection Regulation (GDPR) at the moment, and rightly so. The changes we need to make are sweeping and, in ...

Agility and, therefore, change is beneficial to all organisations; being able to change products, services and internal processes allows a firm to stay ahead...