Compliance Insights Articles

The past two years have brought a whirlwind of new regulatory requirements, guidance and legislation that financial services firms have...

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

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

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

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...

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

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

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...

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,...

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

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

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...

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

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

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...

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

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...

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

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...

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