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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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Understanding the drivers for Barclays’ £26 million fine for treatment of customers in financial difficulty

On Tuesday 15 December, the Financial Conduct Authority (FCA) published their Final Notice on regulatory action that resulted in a £26m fine for Barclays.

Topics: Featured, Risk Management, Banking, Consumer

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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How has COVID-19 affected new hires and leavers?

Looking back on the last eight months, it would be a gross understatement to say that 2020 has been a tumultuous year for professionals.

Topics: Featured, Risk Management, Professional Services, Data Privacy & Information Security, Talent Solutions

August 27, 2020
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Coronavirus and safeguarding customers’ funds: proposed guidance for payment firms

On the 22nd May, the FCA released a consultation, outlining additional temporary guidance to support payment firms and their prudential risk management. Given the unprecedented circumstances of the ...

Topics: Risk Management

June 4, 2020
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Operational Resilience in the face of COVID-19

COVID-19 has now officially been declared a Pandemic by the World Health Organisation and a public health emergency, impacting people’s lives, businesses and the wider economy.

Topics: Featured, Risk Management, Insurance, Banking, Professional Services, Flexible, Talent Solutions, operational resilience

March 12, 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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Who you should hire today to meet tomorrow's risks and regulations

FourthLine's Director of Talent Services, Dan Waltham discusses 8 essential areas companies should recruit for now in order to ensure future effective risk and regulation management.

Topics: Featured, Client Assets (CASS), Legal, Risk Management, Investment Management, Professional Services, Technology Media and Telecoms, Talent Solutions

November 11, 2019
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8 Reasons to consider a different recruitment solution

FourthLine Director Dan Waltham discusses the merits of looking beyond contingent as the only recruitment solution.

Topics: Insider, Client Assets (CASS), Risk Management, Investment Management, Banking, Consumer, Technology Media and Telecoms, Talent Solutions

November 8, 2019
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