Treating Customers Fairly – TCF The FCA no longer carries out TCF specific visits, however this does not mean that they think it is any…
FCA Regulatory Assessment Audit Introduction to FCA Audits Navigating the complex waters of the Financial Conduct Authority (FCA) regulations is no small…
Key Committee Meeting Minutes Committee minutes are important as they show the data and information available and presented, decisions made, responsibles for the actions agreed…
Governance, Risk & Compliance Frameworks Why is governance risk and compliance important? To ensure that businesses protect their information, have consistent cohesion departmentally, and follow…
Board of Directors – Understanding and Further Training? What does the Board of Directors do? It provides leadership of the organisation within a framework of prudent…
The Duty of Responsibility. Every Senior Manager has a Duty of Responsibility under the Financial Services and Markets Act 2000, which means that if a…
The Importance of Good Management Information (MI) and Reporting The significance and requirement of excellent operational detail (volumes, speed, performance indicators, controls, tolerances etc.) are…
The FCA’s complaint handling requirements and the Financial Ombudsman Service (FOS). The FOS is an independent adjudicator of consumer complaints linked to the supply of…
What Can an Org Chart Show? Or, How To Read An Organisational Chart Even the traditional waterfall Org Chart can still communicate a lot about…
Business Risk Assessment Methodology A Business Risk Assessment is a systematic process focused on identifying, evaluating, and controlling risks that could impact the operations, reputation,…