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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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  • Understanding Market Abuse Law and Regulation

    Michael Sacks | 4th July 2022 | Spaced Learning for Employees
    On 17th June 2022, the FCA issued an update regarding its work to prevent and detect market abuse. In particular, the FCA outlined its monitoring techniques and approach to enforcement. The aggregate picture was one of “increasing intensity, scrutiny and...
  • 3 Steps Towards an Effective Compliance Training Strategy

    Michael Sacks | 21st June 2022 | In the Spotlight
    Michael Sacks, Director of Digital Learning Strategy at CCL Academy reveals how firms can enhance their compliance training strategy by taking three simple steps. Step 1...
  • Understanding and Responding to Signs of Vulnerability

    Michael Sacks | 16th June 2022 | Spaced Learning for Employees
    In a survey published in May 2022, 55% of people reported that their health has been negatively impacted by the rising cost of living (YouGov/Royal College of Physicians). With the FCA spotlight on delivering good outcomes for customers, how can...
  • Compliance Updater - May 2022

    Martin Mitchell | 31st May 2022 | The Compliance Updater
    US regulator looking at retail sales practices for “complex products”. Wirecard administrator chasing recovery of dividends and tax. Allianz settles for $5.8bn over US securities fraud. ECB demands big investment banks address “empty shell” desk issue. BNY Mellon fined by...
  • Preventing and Detecting Financial Crime in the Workplace

    Michael Sacks | 4th May 2022 | Spaced Learning for Employees
    In April 2022, the FCA released its review of the financial crime controls at six challenger banks. Whilst the review found evidence of good practice, in particular through the innovative use of technology, it also highlighted weaknesses which increased the...
  • Compliance Updater - April 2022

    Martin Mitchell | 29th April 2022 | The Compliance Updater
    Steelworkers pension redress plan proposed by FCA. US SEC proposes tightening of SPAC requirements. Dubai launches Virtual Asset Regulatory Authority. Tokio Marine says Greensill insurance cover was gained by fraud. FCA outlines strategy for the next three years. Banks worry...
  • Protecting Your Firm Against Cyber-Attacks

    Michael Sacks | 4th April 2022 | Spaced Learning for Employees
    With an increasing number of cyber security incidents reported by the FCA, businesses need to ensure that the fundamentals of cyber security are in place. Here are some timely reminders for staff on their role in protecting the firm against...
  • Concerning Conduct: Quarterly Cases - Q1 2022

    Martin Mitchell | 31st March 2022 | Concerning Conduct
    Elizabeth Holmes found guilty of defrauding investors in blood-testing company Theranos. KPMG admits to misconduct over Carillion. Horta-Osorio quits as chair of Credit Suisse due to Covid breaches. AGM vote count blunder at Go-Ahead. DWS CEO suspicions related to Porsche...
  • Compliance Updater - March 2022

    Martin Mitchell | 31st March 2022 | The Compliance Updater
    Two US billionaires investigated over possible insider dealing. Braun charged with fraud over Wirecard. UK and EU accelerate sanctions against Russia. Covid Bounce Back Loan fraud estimates revealed. Only a quarter of crypto firms currently meet FCA requirements. Economic Crime...
  • Doing the Right Thing with Whistleblowing

    Peter Haines | 16th March 2022 | Spaced Learning for Employees
    Whistleblowing procedures are a crucial part of effective corporate governance and a key back-stop for a positive compliance culture in firms. People who blow the whistle in accordance with the law and regulation play an important role in exposing poor...
  • Sanctions Compliance: 3 Key Practices to Keep in Mind

    Bruce Viney | 3rd March 2022 | Spaced Learning for Employees
    Financial and trade sanctions are being issued at an unprecedented rate, so it is vital that all staff are aware of sanctions risk and understand how sanctions affect their business activities. The UK sanctions regime must be considered, as well...
  • FCA update - Getting the necessary skills and training for Heads of Compliance and MLROs

    Peter Haines | 3rd February 2022 | In the Spotlight
    The FCA recently published a statement about the competency and capability of Heads of Compliance and MLROs, providing advice on what is required for them to be effective in their roles. The UK regulator advised that Heads of Compliance and...
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