FCA Update and Feedback on Operational Resilience
February 24, 2022
The FCA has provided a key update to their operational resilience protocol with an aim to reduce harm to the consumer and wider markets, whilst
Category: News
FCA’s expectation for Heads of Compliance and MLROs
February 23, 2022
One of the most important roles in a registered firm is that of the Head of Compliance and MLRO. The FCA’s expectation of this role
What are the AML Review Requirements?
February 7, 2022
Money laundering is still a critical industry that many businesses face, so it is vital that they have a robust anti-money laundering, otherwise known as
Do You Have an FCA Compliance Monitoring Plan?
February 7, 2022
As regulatory compliance requirements continue to multiply at a seemingly unstoppable pace, businesses have been forced to keep up with ongoing changes and respond by
FCA Trends: Focus on Data
January 24, 2022
Jessica Rusu, Chief, Data, Information and Intelligence Officer of the FCA, recently gave a speech in which she laid out what some of the latest
How to make your compliance program more effective
January 20, 2022
It can be difficult to juggle a wide range of laws and regulations relating to your chosen industry or sector but with an effective compliance
FCA Remote Work Expectations? A Complete Compliance Guide
January 6, 2022
With many businesses now considering a hybrid or remote work life, it is vital that regulated firms know where they stand in terms of remote
FCA Plans to Tighten Appointed Representatives Legislation
December 22, 2021
The FCA is making plans to tighten up their appointed representatives (AR) legislation following the publication of a consultation paper. Such changes would bring a
Our Guide To Cutting The Cost Of AML Compliance
November 17, 2021
As financial regulators continue to increase AML regulations, the cost of remaining compliant is getting higher. According to the experts, these AML compliance costs are
FCA Trends: Section 166 Audits
November 2, 2021
Discussions within the market indicate that the FCA are requesting an increasing number of Section 166 audits for firms within the e-money and payments sectors.