Compliance Training Blog

The FCA issued a record £392 million in fines in 2019. The two largest fines in 2019 were larger than the 2018 total. We've analysed the largest fines...

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...

The extension of the SM&CR to FCA solo-regulated firms impacted over 50,000 financial firms.

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 took place on December 9 2019. We detail simple step...

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.

An overview of the most recent and upcoming changes to FCA guidelines for senior managers...

Now that the Senior Managers and Certification Regime (SM&CR) has been extended, how will it affect insurers? We have the answers to 16 frequently ask...

The extension of the Senior Managers and Certification Regime (SM&CR) to dual regulated insurers took place on December 10th 2018. Insurance firms nee...