Compliance Podcasts You Should Listen To

Podcasts aren’t new but they are on the rise, and for a reason, they are an engaging, informative and easy form of content to digest. You just need a mobile device to access them and here you go, great content in your hand.  

Read More

Five Mistakes Companies Make with SMCR Compliance

When it comes to implementing the new Senior Managers and Certification Regime (SMCR), there are key lessons solo-regulated companies can learn from banks and insurers who’ve already done so. That’s according to Lorraine Mouat, associate director at TCC, who highlighted the top five mistakes companies might make in implementing SMCR in a recent Financial Times Advise article 

Read More

UK Finance Says FCA should Consider Leaner SMCR Rules

UK Finance, Britain’s trade association for banks in the country, has published the financial industry’s first major appraisal of the Senior Managers and Certifications Regime(SMCR). The requirements under SMCR were introduced by the Financial Conduct Authority (FCA) in 2016 as part of regulatory reforms following the 2007-09 financial crisis.  

Read More

No-Deal Brexit Would Bring Major Compliance Changes

The U.K and the European Union (EU) are bracing for the likelihood of a “no-deal” Brexit.  

Read More

FCA Highlights Insider Trading Risk and Compliance

The Financial Conduct Authority (FCA) issued an edition of Market Watch this month that shares the regulator’s concerns and findings about control of access to inside information. In the publication, the FCA highlighted the conviction of Fabiana Abdel-Malek, a former Compliance officer in the London branch of a major investment bank.  

Read More