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NEWS & INSIGHTS

Our News & Insights page gives you the latest updates from Leaman Crellin and key regulatory and compliance themes, including expert commentary, and insights, data and tips.

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We always welcome additional expert commentary so please get in touch if you’re interested in sharing your views or content around a particular topic.

FEATURED POSTS

Neil Makwana discusses CASS

Nov 201 min read

Neil Makwana discusses CASS

Neil Makwana, a CASS and Compliance expert from Leaman Crellin, delivered an insightful presentation at The Broker Club's November event.

Compliance Cosy Chat with Graham Jelf, LBMA, and Katharine Leaman

Nov 131 min read

Compliance Cosy Chat with Graham Jelf, LBMA, and Katharine Leaman

Latest podcast from LBMA where Grahan Jelf (Compliance Officer at LBMA) sits down with Katharine Leaman for an insightful discussion.

SMCR Top Tips

Aug 112 min read

SMCR Top Tips

Top tips from our CEO Katharine Leaman on SMCR, to protect you and your firm. Check out the article and get in touch with us for more info.

Consumer Duty - Beyond the 31 July deadline

Jul 302 min read

Consumer Duty - Beyond the 31 July deadline

Consumer Duty implementation can be complex and common areas are often overlooked. To help firms we have put together some top tips.

ALL INSIGHTS

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Read across from FCA Charles Schwab fine

Read across from FCA Charles Schwab fine

This article considers the December 2020 FCA final notice issued to Charles Schwab UK Ltd.

8 Tips for a good compliance risk assessment

Risk Management

8 Tips for a good compliance risk assessment

This article gives our top 8 tips for a good compliance risk assessment

TFS-ICAP fines for printing trades & flying prices – 4 lessons for compliance & control functions

TFS-ICAP fines for printing trades & flying prices – 4 lessons for compliance & control functions

We look at the fines TFS - ICAP received in 2020 for ‘printing trades’ and ‘flying prices’. We ponder the lessons for control functions.

Mirror, Signal, Manoeuvre: SMCR Top 6 before 31 March

Mirror, Signal, Manoeuvre: SMCR Top 6 before 31 March

Many firms will soon be subject to SMCR, this article gives you the top 6 areas you need to get right before 31 March.

Wealth Managers: rule changes to expect in 2021/2022

Wealth Managers: rule changes to expect in 2021/2022

This article will help private banks and wealth managers navigate upcoming regulatory changes

What makes a good compliance manual: Practical lessons from banking

What makes a good compliance manual: Practical lessons from banking

This article considers where the need for a compliance manual comes from, and how to make your compliance manual useful, and what to avoid.

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