The FCA issued a record total of £392 million in fines in 2019. In fact, the two largest fines in 2019 were larger than the 2018 totals. We've analyse...
Sharon Williams
Recent Posts
This month's FS roundup includes Henderson fine, operational resilience, tax dodge CEO banned, CMA prompted refunds from HSBC/Santander and more...
This month's FS roundup includes mortgage prisoners, discretionary finance commissions, good practice for AFMs, OFSI 2nd Annual Review, PRA focus for ...
This month's FS round-up includes fines for Prudential & Tullett Prebon, travel insurers warned over high commissions, FCA review of unit-linked trust...
Our pick of the biggest compliance news in Financial Services this month: This month's roundup includes fines for destroying documents & money launder...
Our pick of the biggest compliance news in Financial Services this month: This month's roundup includes fines for Standard Life & Cathay, KPMG dismiss...
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Our pick of the biggest compliance news in Financial Services this month: This month's roundup includes fines for BOS, HSBC historical debt collection...
The extension of the Senior Managers and Certification Regime (SM&CR) to FCA solo-regulated firms takes place on December 9 2019. With less than 5 mon...
The extension of Senior Managers and Certification Regime (SM&CR) to all FSMA authorised firms introduces a new ‘Duty of Responsibility’ for Senior Ma...
This blog aims to provide a roundup of some of the biggest regulatory compliance headlines in the financial service sector over the last month. Select...
Here's a selection of news stories from the last month that touch upon the people dimension of regulatory compliance. Select the links or scroll down ...
With Brexit preparations continuing apace, the financial services regulators have been busy through December and January. Our mission is to bring you ...
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Do you have questions about the extension of the Senior Managers and Certification Regime (SM&CR) to Insurers? You may be keen to understand what it w...
The extension of the Senior Managers and Certification Regime (SM&CR) to dual regulated insurers takes place on December 10th 2018. If your firm is in...
