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Dear CEO – What the FCA expects you to do
On 5th March 2024, the FCA issued a ‘Dear CEO’ letter to Annex 1 firms (i.e. firms that are supervised by the FCA for AML/CTF purposes only) which reiterated the importance of the ‘…fight against financial crime…’. It also sets... -
Compliance Updater - March 2024
In this month's summary of key compliance stories from around the globe, Martin Mitchell looks at some of the regulatory and compliance headlines, including; FCA sets out its priorities for 2024/25, FCA announces investigation into super-complaint re personal guarantees, US... -
The Consumer Duty Board report – are you ready?
In this article, Peter Haines, Consumer Duty trainer and a Consumer Duty Champion with experience in implementing the Duty within a financial services organisation, discusses the FCA’s expectations for the Board report and the type of MI firms should be... -
Concerning Conduct: Quarterly Cases - Q1 2024
This quarter's Concerning Conduct, a summary of recent cases concerning culture and conduct, includes; Global minimum tax for multinational companies starts, Battle for talent to sell alternatives to the wealthy, Tui board backs delisting from London and shareholders agree, Fake... -
Compliance Updater - February 2024
In this month's summary of key compliance stories from around the globe, Martin Mitchell looks at some of the regulatory and compliance headlines, including; Gap insurance in the FCA’s sights under the Consumer Duty, UAE removed from FATF’s grey list,... -
The rise in bribery and corruption, and how to assess and manage associated risks
Almost every country in the world prohibits the payment of bribes to their own government officials, but the scale and ubiquity of bribery and corruption continue to worsen. Bruce Viney discusses the rise in bribery and corruption, some of the... -
Compliance Updater - January 2024
In this month's summary of key compliance stories from around the globe, Martin Mitchell looks at some of the regulatory and compliance headlines, including; FCA about to gather detail on non-financial misconduct., Australia’s ASIC cracking down on greenwashing, UK car... -
Compliance Updater - December 2023
In this month's summary of key compliance stories from around the globe, Martin Mitchell looks at some of the regulatory and compliance headlines, including; Insider dealing trial starts against former Goldman Sachs analyst, Pictet agrees $123m settlement after helping clients... -
Concerning Conduct: Quarterly Cases - Q4 2023
This quarter's Concerning Conduct, a summary of recent cases concerning culture and conduct, includes; Banks cut more than 60,000 jobs in 2023, BoE officials suggest tighter liquidity rules for money market funds, Businesses with better gender balance have higher return... -
Compliance Updater - November 2023
In this month's summary of key compliance stories from around the globe, Martin Mitchell looks at some of the regulatory and compliance headlines, including; Former FCA chair warns over plans to regulate crypto, US toughens sanctions on Russia via third... -
Compliance Updater - October 2023
In this month's summary of key compliance stories from around the globe, Martin Mitchell looks at some of the regulatory and compliance headlines, including; Singapore looks at toughening its AML rules and single family office regime, FCA highlights topline themes... -
Artificial Intelligence (AI) for the front and back office staff
AI allows machines to mimic the human mind, enabling them to rationalise and take actions to achieve a specific goal. This article focuses on the use of AI in financial services, governance and oversight, and the potential risks associated with...