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.
The financial services sector has an opportunity to show society we've changed substantially post the global financial...
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We discuss the major compliance issues facing the financial services industry in 2023 from data, due diligence, IFPR,...
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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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