Compliance Insights Articles

A collective “sigh” emanates from the room. Not an unusual response to additional compliance training. Traditionally seen as the “heavy” or “boring” topic to...

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 s...

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 la...

As solo-regulated firms are preparing to leave behind the Approved Persons Regime and implement the Senior Managers and Certification Regime, November is the...

The FCA's Conduct Rules form a fundamental part of the Senior Managers and Certification Regime, which will apply to almost all FCA authorised firms from Dec...

This winter sees the introduction of the conduct rules for solo-regulated firms, insurance firms and banking are already complying with SM&CR and thus the co...

For solo-regulated firms the commencement of SM&CR is fast approaching, and 9th December will be here before we know it. Most firms will have their preparati...

With summer just around the corner, December may feel like a long way off. But there are only seven months to go until the Senior Managers and Certification ...

Although many of us feel confident we know the FCA’s Consumer Credit Sourcebook (CONC) inside and out, even I, as somebody who covers it continually, sometim...

With the introduction of GDPR and next year’s roll-out of the Senior Managers and Certification Regime impacting upon the consumer credit sector this year, 2...

With next week marking one year until the roll-out of the Senior Managers and Certification Regime to solo-regulated firms, all affected firms should now hav...

The Senior Managers & Certification Regime (SM&CR) is due for implementation in solo-regulated firms on 9 December 2019. With 2019 just around the corner, fi...

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

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 requirements. It ...

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 will be aware, in m...

Gaining FCA authorisation is a vital step for consumer credit firms. However, once you have completed the journey to authorisation, it’s equally important to...

The days when refresher training involved sitting an unenthusiastic team member in front of e-learning for a few hours are fading. I’ve even seen some lender...

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 ...

Consumer credit lending and debt collection is a difficult art with the balance between compliance and commercial interests becoming ever more difficult to m...

The FCA, of course, have placed a direct obligation on us to manage our risk in accordance with their rules. This has changed the game, clie