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Key takeaways | FCA Payments & E-Money safeguarding & wind-down webinar

On 21 January, the Financial Conduct Authority (FCA) delivered a Payments & E-Money: safeguarding & wind-down webinar to compliance consultants which included some significant points that will be of relevance to firms.

Referencing an initial FCA review of 14 firms’ wind-down plans, FourthLine has summarised a number of these below:

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The FCA Data Breach is a wake-up call to Firms

The FCA was left red-faced last week when it admitted to the accidental publishing of personally identifiable information on their website following a Freedom of Information request last year.

Topics: Featured, Data Privacy & Information Security, Flexible

March 2, 2020
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Changing Focus on CASS

CASS appears to have quickly dominated dominated the regulatory agenda in the UK’s investment industry. I’m sure many executive boards feel frustrated at the amount of time taken up in discussing ...

Topics: Featured, Investment Management, Flexible, Talent Solutions

January 14, 2020
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A Strategic Regulatory Management Limited briefing note on SMCR

Ian Stevenson, Managing Consultant at Strategic Regulatory Management Limited gives his perspective on the UK Senior Managers and Certification Regime (SMCR) which comes into play in December.

Topics: Client Assets (CASS), Risk Management, Investment Management, Flexible, Talent Solutions, SMCR

November 18, 2019
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