Client Categorisation – Beware the tick box, follow the facts
Here we re-examine the risks of opting up retail clients after Linear Investments v FOS. Clients have differing levels of…
Category Compliance Function
Read MoreClient Categorisation – Beware the tick box, follow the facts
UK Compliance Year End: Four Priorities for Your Planning
We’re witnessing something we haven’t seen since the financial crisis: a genuine regulatory pivot towards growth. The new government’s commitment…
4 Key Themes in FCAs 2025/26 Work Plan
Read More4 Key Themes in FCAs 2025/26 Work PlanThe Modern Compliance Function
The compliance function has evolved significantly over the years, transitioning from a rule-focused, reactive role to a proactive, business-enabling partner.…
Navigating 2025 – Regulation beyond tomorrow
As we approach 2025, regulated firms continue to face an evolving regulatory landscape that demands proactive planning and investment. To…
Who Owns Outsourcing and Third Party Risk Management Regulatory Compliance?
Key Takeaways Implementing a Robust TPRM Program With the stakes so high, creating a robust TPRM program is not just…