The compliance function has evolved significantly over the years, transitioning from a rule-focused, reactive role to a proactive, business-enabling partner. In today’s regulatory environment, compliance officers must embrace modern practices that not only ensure adherence to laws but also align…
A robust compliance risk assessment isn’t just about identifying risks—it’s about understanding how to manage them effectively and demonstrating you have thought about potential scenarios and planned how to control their effects. From my experience, successful assessments rely on honesty, precision, and a prevention-first…
In today’s rapidly evolving regulatory landscape, compliance isn’t just a back-office function—it’s a business-critical asset that protects firms from financial, operational, and reputational risks. However, many compliance teams struggle to gain board-level buy-in for the training, consultancy, and resources they need to…
The evolving relationship between the Financial Conduct Authority (FCA) and the UK government raises questions about regulatory priorities and independence. The FCA will more than likely continue in its current structure. However, it is clear that there will be more government…
As we approach 2025, regulated firms continue to face an evolving regulatory landscape that demands proactive planning and investment. To navigate these changes successfully, and as part of 2025 planning, regulated firms need to allocate sufficient budget and resources not only…
We’re seeing lots of requests recently for SMCR training and support and I thought it might be useful to put together some top tips/things to think about for those responsible for this part of the business. There are links for more…
We’re seeing lots of requests recently for SMCR training and support and I thought it might be useful to put together some top tips/things to think about for those responsible for this part of the business. There are links for more…
Last week our CEO Katharine Leaman and colleagues David Stuart and Neil Makwana, had the pleasure of joining clients and connections at the ACI UK Financial Markets Association AGM, followed by a social and networking evening (which we were delighted to sponsor.…
According to the FCA, culture audits, culture prints, and culture maps are precisely where the problem with culture starts. FCA considers that as soon as we attempt to wrap metrics around culture or conduct, we are missing the point because…
There is plenty of theory about how to manage conflicts of interest. There are rules saying what you can and can’t do. The really practical stuff about how you should go about managing conflicts of interest in your business is…