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Topic: Compliance consultancy

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Download now: 1LoD Global Benchmarking Survey & Annual Report 2019

We are lead sponsors of the 1LoD Global Benchmarking Survey & Annual Report 2019. Based on a survey collecting the views of experts from more than 30 of the largest financial institutions globally, the report provides a unique insight into the maturity and development of control functions over the last 12 months, as well as … Continue Reading

Cyber resilience: Addressing the threats

The recording from our Regulatory Compliance Consulting webinar on cyber resilience is now available here. In an increasingly complex landscape of cyber risks and issues, this webinar considers key areas of importance including: The evolving threat landscape – changes we are seeing in terms of cyber-attacks and hot topics, including sectors and firms currently in … Continue Reading

FCA Handbook Notice 68

On 26 July 2019, the FCA published Handbook Notice 68. This Handbook Notice provides a summary of the changes the FCA board made to the Handbook on 11 and 25 July 2019. The relevant instruments are: Prospectus Regulation Rules Instrument 2019; Individual Accountability (FCA-Authorised Firms) Instrument 2019; Conduct of Business Sourcebook (Investment Pathways) Instrument 2019; … Continue Reading

FCA Policy Statement on regulated fees and levies 2019/20

On 1 July 2019, the FCA published Policy Statement 19/19: FCA regulated fees and levies 2019/20 (PS19/19). In PS19/19 the FCA is publishing the 2019/20 periodic regulatory fees and levies for the: FCA; Financial Ombudsman Service general levy; Money and Pensions Service; Devolved Authorities; and Illegal money lending levy. The FCA also sets out its … Continue Reading

SM&CR: practical considerations for those in compliance

One key governance aspect of the FCA’s 2019/20 Business Plan is the extension of the Senior Managers & Certification Regime (SM&CR) to all solo-regulated firms in December this year. SM&CR is seen by the FCA as a “catalyst for change and an opportunity to establish healthy cultures and effective governance in firms by encouraging greater … Continue Reading

Compliance corner – PRA Business Plan 2019/20

On 15 April 2019, the PRA published its latest Business Plan setting out its strategy, workplan and budget for 2019/20. The PRA’s strategy for 2019/20 will be delivered through its strategic goals. Such goals include: ensuring that firms are adequately capitalised, and have sufficient liquidity, for the risks they are running or planning to take; … Continue Reading

Compliance Corner – FCA publishes its latest Business Plan

On 17 April 2019, the FCA published its latest Business Plan containing some key themes, and also some interesting hints at particular lines of enquiry it may focus on. In terms of key areas of priority, the Business Plan notes the following cross sector priorities: culture and governance. This includes the extension of the Senior … Continue Reading