Meet Nick Evans, Executive Consultant Compliance, Barclay Simpson, as he shares his journey through the intricate world of compliance recruitment, from the rapid integration of AI, to the satisfaction of helping a candidate find their dream job, against the odds. Nick…
Staying informed and proactively managing consumer duties remain a top priority for firms. However, detecting problems and anticipating risks has proven to be a significant challenge for many businesses. To address this challenge, we’re introducing a new Consumer Duty Management…
In a compelling initiative aimed at transforming workplace culture within the financial services sector, the Financial Conduct Authority (FCA) has released a significant survey that sheds light on patterns of non-financial misconduct across UK financial firms. Covering over 1,000 investment…
In a compelling initiative aimed at transforming workplace culture within the financial services sector, the Financial Conduct Authority (FCA) has released a significant survey that sheds light on patterns of non-financial misconduct across UK financial firms. Covering over 1,000 investment…
Navigating Regulatory Changes: Rethinking Senior Management Function Allocations and Strengthening the First Line of Defence Model In a rapidly evolving regulatory landscape, financial firms are facing increasing pressure to evaluate their Senior Management Function (SMF) allocations, with a particular focus…
Meet Fiona Figuera, Compliance Manager at Capital Markets Elite Group, who shares her journey from launching compliance training in Guyana to advocating for simplified data protection rules. Discover what inspires her, her favourite comfort food, and the superhero she admires most! …
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…