Blog listing page

Operational Resilience Outlook - Internal challenges to consider

In my last blog, I discussed a few external indicators that should be considered in the transition period in order to build a mature view of resilience.

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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 ...

Topics: Featured, Client Assets (CASS), Investment Management, Banking, Prudential regime

January 21, 2021
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2021 and the FCA's continued focus on customer vulnerability

Following the release of the Financial Conduct Authority’s (FCA) draft updated guidance this week for mortgage and consumer credit repossessions, and for consumer credit tailored support, the topic ...

Topics: Featured, Investment Management, Prudential regime

January 14, 2021
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PRA reveal their six priorities for UK deposit takers in 2021

As calendars are prepared to be turned over to 2021, the PRA have set out their priorities for the upcoming year for UK deposit takers in a letter to CEOs. Whilst there are no real surprises given ...

Topics: Featured, Client Assets (CASS), Risk Management, Investment Management, operational resilience

December 15, 2020
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FCA releases new Prudential Regime for Investment Firms (IFPR) consultation paper

On 14 December 2020, the Financial Conduct Authority (FCA) published its first of three Consultation Papers on the new UK Prudential Regime for Investment Firms (UK IFPR).

Topics: Featured, Investment Management, Prudential regime

December 15, 2020
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The Investment Firms Prudential Regime – areas to consider when getting started

Yesterday morning the Financial Conduct Authority (FCA) confirmed that, considering the scale of regulatory reform due in 2021, the UK’s Investment Firms Prudential Regime (IFPR) will now be ...

Topics: Featured, Risk Management, Investment Management, Prudential regime

November 17, 2020
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SMCR implementation: will your business be ready in time?

With COVID-19 forcing nearly 50,000 solo regulated firms in the UK into reprioritising activities to ensure continuity and operational resilience during the pandemic, the Senior Managers and ...

Topics: Insider, Featured, Legal, Investment Management, Banking, Consumer, Technology Media and Telecoms, Talent Solutions, SMCR

September 28, 2020
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Looking back at our "Analysing the 2020 FCA Business plan for FinTechs and Consumer Firms" webinar

This month our Director, Dan Waltham interview Gerard Hurley, Chief Compliance Officer at Chip for our latest webinar on the 2020 FCA Business Plan for FinTechs and Consumer Firms.

Topics: Investment Management, Banking

May 15, 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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