Elevating Consumer Outcomes: A Comprehensive Guide to Exceeding the Consumer Duty Standards In the evolving landscape of financial services, the implementation of the Consumer Duty…
Governance Review Service Dear Friend, Are you a compliance director or a business owner in the UK’s regulated financial services sector? Do you strive for nothing…
Understanding Conduct Risk: What the FCA Expects Conduct Risk Overview: In the ever-evolving landscape of financial services, one constant focus for the Financial Conduct Authority…
Ensuring Effective Control: A Guide to Reasonable Steps for Senior Managers In today’s regulatory landscape, the concept of “reasonable steps” has become pivotal for Senior…
Conduct Risk Framework Developing a conduct risk framework involves a cyclical and comprehensive process. Initially, it is critical to Identify Key Conduct Risks. This step…
Emerging Compliance and Risk challenges for Fintech. In an era where ‘FinTech’ has transitioned from a trendy concept to a transformative force in finance, we…
8 Things You Must Do As Director’s Duties Under The UK Companies Act 2006 In the UK, directors of a limited company have various duties…
The rise of Buy Now Pay Later (BNPL) services has transformed the way consumers shop, providing convenient and flexible payment options. However, concerns have been…
“The Three Lines of Defence: An Essential Resource for Compliance Professionals” is an informative book designed to provide compliance directors, managers, and operational risk directors…
The main objective of this book is to provide a comprehensive guide to FCA conduct risk for small business owners. The Financial Conduct Authority (FCA)…