Katharine Leaman

Katharine Leaman spent 11 years within the FCA, then oversaw compliance at two major banks. She now consults on regulatory compliance across market conduct, CASS, SMCR, FX Global Code, Outsourcing, non-financial misconduct, and conduct risk. Her consultancy provides regulated firms with digital regulatory compliance materials.

Top 10 Financial Services Compliance Issues in 2022
Top 10 Financial Services Compliance Issues in 2022

Top 10 Financial Services Compliance Issues in 2022

We discuss the major compliance issues facing the financial services industry in 2022 from data, due diligence, IFPR,...

Meeting SMCR Expectations
Meeting SMCR Expectations

Meeting SMCR Expectations

By understanding the aims of the FCA that underpin the SMCR, you can better meet its expectations. But what are these...

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