Latest Articles

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.

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...

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.

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:

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...

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...

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...

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...

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...

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...

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...

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,...