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Latest Articles

Stay up to date through our range of news channels, designed to provide you with concise updates on topical compliance issues.

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  • CASS Compliance: How has it evolved and what has caused the uptick in requests for CASS training?

    Peter Haines | 30th April 2025 | In the Spotlight
    In this article, Peter Haines discusses the evolution of CASS Compliance, how it was perceived then vs how it is perceived now, and what might be leading firms to spend more resources on CASS training.
  • Effective Consumer Duty training delivered to 1,350 staff in 12 months with CCL Academy’s 360 Approach

    23rd April 2025 | Case Studies
    Following a major shift in financial services regulation, a new build warranty and insurance provider used targeted and cost-effective blended learning from CCL Academy to successfully instil understanding of the FCA’s new regulation, the Consumer Duty, to its diverse and...
  • Diversity & Inclusion: An update following the FCA’s announcement

    Michael Sacks | 18th March 2025 | In the Spotlight
    In this article, Michael Sacks, Director of Learning & Development shares some valuable insights following the FCA’s recent letter regarding its diversity and inclusion proposals.
  • Non-Financial Misconduct: 3 things your firm should be doing now

    Peter Haines | 3rd March 2025 | In the Spotlight
    When released, the FCA’s Policy Statement on Non-Financial Misconduct (NFM) will be a significant regulatory initiative. In anticipation of the Policy Statement, Peter Haines, Director of GRC Training, recommends that firms do the following to ensure they are prepared:
  • The offence of failure to prevent fraud – what it is and what should Senior Managers and the Board do now?

    Bruce Viney | 29th January 2025 | In the Spotlight
    With less than nine months until the new corporate offence of failing to prevent fraud becomes law, organisations should be thinking now about how to ensure that they will be compliant with the requirements by 1st September 2025. In this...
  • What is the offence of failure to prevent fraud and does it affect my firm?

    Bruce Viney | 28th January 2025 | In the Spotlight
    The Economic Crime and Corporate Transparency Act (ECCTA) received Royal Assent in December 2023. The Act included a new corporate offence of a failure to prevent fraud. In November 2024 the government issued guidance relating to the new offence and...
  • What led TD Bank to receive the largest fine to date under AML law, and what should financial institutions do now?

    Bruce Viney | 30th October 2024 | In the Spotlight
    On October 10th 2024, US Attorney General, Merrick B Garland, announced that TD Bank had pleaded guilty to multiple felonies under the Bank Secrecy Act and Money Laundering Conspiracy violations. TD Bank agreed to pay a total penalty of just...
  • Compliance Updater - September 2024

    30th September 2024 | The Compliance Updater
    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; Atlanta Fed president broke the central bank’s trading rules, Citigroup shifts responsibility for its data compliance...
  • Concerning Conduct: Quarterly Cases - Q3 2024

    30th September 2024
    This quarter's Concerning Conduct, a summary of recent cases concerning culture and conduct, includes; 44% of UK adults in financially vulnerable circumstances, Global disruption from software security update, SEC charges the auditor of collapsed FTX with misconduct, UK capital markets...
  • Dealing with PEPs: Examples of good practice

    Bruce Viney | 12th September 2024 | In the Spotlight
    The FCA’s recent review on how effectively firms are following its 2017 Guidance on the treatment of Politically Exposed Persons (PEPs) includes examples of good practice in certain areas. In this article, Bruce Viney delves into some of the examples...
  • Compliance Updater - August 2024

    29th August 2024 | The Compliance Updater
    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; UK regulator reports on fraud reimbursement rates, FCA chair reveals the identity of a whistleblower, Two...
  • A guide to dealing with PEPs following the FCA’s findings of its multi-firm review

    Bruce Viney | 31st July 2024 | In the Spotlight
    The FCA recently published findings of its review on how effectively firms are following its 2017 Guidance on the treatment of Politically Exposed Persons (PEPs). The review findings are significant for financial firms dealing with PEPs and at a minimum,...
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