As part of our growth strategy, we’re delighted to announce the appointment of two new members to our Consultancy team. David Stuart joins us as Principal Consultant, and Neil Makwana joins as Principal Compliance Consultant. Neil and David will join the team delivering outstanding…
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…
Key Takeaways Implementing a Robust TPRM Program With the stakes so high, creating a robust TPRM program is not just advisable; it’s imperative. This involves developing a framework that clearly defines the roles and responsibilities of all parties involved, and…
As the year draws to a close and the holiday season approaches, I find myself reflecting on the many challenges and triumphs we have faced in the compliance field. From navigating the complexities of regulations to ensuring the ethical conduct…
On 29 June 2023 the Financial Services and Markets Act received Royal Assent. We’ve summarised the highlight’s for you here and are already looking forward to blogging on some of the more interesting details. Critical third parties The Treasury can…
With the end of the month approaching fast, we can all be forgiven for focussing on the here and now, and not thinking what happens next? Yet if you can take a few moments to pause and do just that…
TCF was (is) part of one of the Principles for Businesses: A firm must pay due regard to the interests of its customers and treat them fairly. That’s where it stops, everything else that supports TCF, the six customer outcomes…
Did you see the PRA and FCA discussion paper on Diversity and inclusion in the financial sector and wonder what the heck does that have to do with the regulators? Have the regulators gone woke? Perhaps they have too much…