top of page
Consultancy and Ready to Go E-Learning
"Making Compliance Simple"
Compliance Insights Articles
Search
What does the FCA's Systems and Controls Sourcebook (SYSC) mean for firms and Senior Managers?
The past two years have brought a whirlwind of new regulatory requirements, guidance and legislation that financial services firms have...
Robert Bell
Jan 8, 2020
European Banking Authority (EBA) Outsourcing Guidelines
The European Banking Authority (EBA) Outsourcing Guidelines come into force on 30 September 2019. The revised guidelines, which replace...
Robert Bell
Sep 12, 2019
FCA Authorisation Application in 5 Steps
Most financial service providers and consumer credit firms must be authorised by the Financial Conduct Authority in order to operate and...
Robert Bell
Feb 27, 2019
How Non-Executive Directors Will Be Affected By The SM&CR
This week we’re going to take a look at how Non-Executive Directors will be affected by the implementation of the Senior Managers and...
Victoria Bell
Feb 19, 2019
Fit and Proper Requirement of SM&CR - What does this mean?
Solo-regulated firms that will be within the scope of the Senior Managers and Certification Regime from the end of this year should...
Victoria Bell
Jan 30, 2019
GDPR Accountability Principle: A Data Controller's Obligation
Accountability is not a new concept in data protection, but whereas the principle of accountability was implicit in the Data Protection...
Victoria Bell
Jan 22, 2019
Senior Managers & Certification Regime for insurance firms – What now?
As of the 10th December, insurance firms are now subject to the Senior Managers and Certification Regime. So as an insurance firm what...
Robert Bell
Jan 2, 2019
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...
Victoria Bell
Oct 25, 2018
What is a DPIA and what must you do when you need one?
Following the implementation of the General Data Protection Regulation eleven weeks ago, the Information Commissioner’s Office have...
Robert Bell
Aug 7, 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...
Victoria Bell
Aug 1, 2018
Physical, or Hard-Copy, Data Best Practice Under GDPR
In this article we’ll be taking a look at how to ensure physical records processes don’t fall foul of the General Data Protection...
Victoria Bell
Jul 18, 2018
Logging data subjects' requests as part of the 8 rights under GDPR
Following up on last week’s article about timescales, we’ll look this week at the issue of logging requests that come in as part of the...
Robert Bell
Jul 11, 2018
Legitimate Interests - A catch-all lawful basis under GDPR for processing data?
Reflecting on the three weeks since the General Data Protection Regulation implementation date, it’s clear that the impact of the new...
Robert Bell
Jun 7, 2018
Pre-GDPR Audit – Check You’re Compliant
With the 25th May implementation date for the General Data Protection Regulation looming at the end of this week, our handy guide to...
Victoria Bell
May 22, 2018
What Your Data Protection Officer Should Be Doing This Week
With the implementation of GDPR less than a week away, firms across the country have been preparing for the new regulation. Most of us...
Robert Bell
May 16, 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...
Robert Bell
May 9, 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...
Victoria Bell
May 2, 2018
FCA's Final Guidance and Rules on Staff Incentives and Remuneration in Consumer Credit
The Financial Conduct Authority (FCA) have published the final rules and guidance relating to staff incentives, remuneration and...
Victoria Bell
Apr 18, 2018
Personal Data Breach: What do you need to consider under GDPR?
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...
Robert Bell
Mar 21, 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...
Robert Bell
Jan 30, 2018
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.
bottom of page