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GOVERNANCE RISK & COMPLIANCE SOLUTIONS


Navigating the Consumer Duty: Ensuring Compliance in Outsourcing Arrangements for Regulated Firms
A guide for all regulated firms to meet their obligations under the Consumer Duty when outsourcing products and services Regulatory firms...

Simon Roberts
Apr 23, 20232 min read
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Navigating the New Consumer Duty: A Guide to Applying for Authorization as an EMI
The Financial Conduct Authority (FCA) is the regulatory body responsible for overseeing the financial sector in the United Kingdom. If...

Simon Roberts
Apr 22, 20233 min read
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Whistle-blower Reports Flood the FCA Amid Money-Laundering Crackdow
Whistle-blower Reports Flood the FCA Amid Money-Laundering Crackdown: How the Consumer Duty Can Help Strengthen the Financial Sector The...

Simon Roberts
Apr 21, 20233 min read
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Consumer Duty: The importance of effective monitoring and Management Information for EMIs and PSPs.
The FCA's new Consumer Duty, set to come into force on 31st July 2023, will require EMIs and PSPs to prioritize their customers'...

Simon Roberts
Apr 21, 20232 min read
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The Importance of Due Diligence in Selecting Outsourced Providers in Compliance with FCA Regulations
Minimizing Risks, Maximizing Success In today's fast-paced business environment, outsourcing has become an increasingly popular practice...

Simon Roberts
Apr 20, 20233 min read
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Protecting Customer Funds: The Importance of Correct Safeguarding Reconciliations for EMIs and PSPs
Electronic Money Institutions (EMIs) and Payment Service Providers (PSPs) have revolutionized the financial industry, providing customers...

Simon Roberts
Apr 20, 20232 min read
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"Unlocking the Pathway to Financial Services: A Guide to Becoming an Appointed Representative''
Becoming an Appointed Representative (AR) of a Financial Conduct Authority (FCA) regulated firm is a popular way for individuals or...

Simon Roberts
Apr 20, 20232 min read
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Why incorporating ESG principles is essential for sustainable and responsible operations
Environmental, Social, and Governance (ESG) have become important considerations for businesses across all industries. The financial...

Simon Roberts
Apr 19, 20233 min read
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"Managing Market Abuse in International Payments and Cross-Border Remittances''
Strategies for Financial Institutions to Prevent Financial Crime Market abuse is a major concern for regulatory bodies and financial...

Simon Roberts
Apr 19, 20232 min read
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Key regulatory developments in the UK over the past week:
FCA imposes new rules on Buy Now Pay Later products The Financial Conduct Authority (FCA) announced new regulations on Buy Now Pay Later...

Simon Roberts
Apr 17, 20232 min read
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Understanding the FCA's Business Plan: Priorities for the Financial Services Industry
The Financial Conduct Authority (FCA), the UK's regulatory body for financial services, has recently published its business plan for the...

Simon Roberts
Apr 12, 20233 min read
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The FCA's Impending Consumer Duty: What it Means for Financial Services
As of 2023, the Financial Conduct Authority (FCA), the UK's regulatory body for financial services, is set to introduce a new regulatory...

Simon Roberts
Apr 12, 20233 min read
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