Regulation & Compliance
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Regulated firms at breaking point amid increased regulatory burden and budget pressures
Firms must relinquish outdated and time-consuming compliance processes in light of tighter budgets and increasing regulatory burden, digital compliance experts at SmartSearch…
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The Timebank: Dear Regulator… Scams and your powers
With their take on the occasional ‘Dear CEO’ letter that comes out of the FCA, starting this month, the good people at…
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CISI launches mental health and addiction awareness e-learning modules
Financial services professionals globally are being offered the opportunity to learn how to boost their wellness, both personally and in the workplace…
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Everyday financial concerns are expected to drive complaints to the Financial Ombudsman Service in the year ahead
The Financial Ombudsman Service has set out the trends in new complaints it is expecting to see in 2024/25 in a consultation…
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Model Office launch Generative AI Compliance chat bot
The chat bot incorporates Open AI ChatGPT and is trained across cyber secure resources built by Model Office including the FCA handbook…
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New data finds one compliance professional could be responsible for the data of 14,315 people and businesses
By analysing FTSE 250 companies, new research has unveiled the immense responsibility placed on compliance professionals across the UK. By examining various…
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FCA’s Sustainability Disclosure Requirements (SDR) and investment labels: Edentree’s Esguevillas comments
Written by Carlota Esguevillas, Head of Responsible Investment, EdenTree Last year the FCA published its long-awaited “Sustainability Disclosure Requirements (SDR) and investment…
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Dependence on capital growth mindset when advising income-seeking retirees risks triggering suitability alarm bells
Advice firms applying a capital growth mindset to clients at and in-retirement are likely to be targeted by tougher regulation to improve…
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Vulnerability in 2023 and a look forward to 2024 – Comentis
With the curtains closed on 2023, Jonathan Barrett, CEO and Co-Founder of Comentis, the duty of care assessment company, looks back on…
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FCA outlines key achievements and milestones from 2023
Now into the second year of its 3-year strategy, the Financial Conduct Authority (FCA) has outlined some of its key achievements and…
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