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    Compliance Training Blog

    Best practice, expert opinions, industry insights, news and key trends in regulatory compliance training, digital learning, EdTech and RegTech.

    Sharon Williams

    Sharon Williams
    Sharon Williams, Chartered Insurer, is Head of Compliance Content at Skillcast and a freelance Regulatory Consultant. Her compliance experience spans over 30 years and includes delivering Compliance Consultancy and holding various Compliance Management Roles within financial services firms. Sharon has been writing about Compliance issues since 2001.
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    Recent Posts

    Highest FCA Fines of 2019

    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...

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    FCA Compliance News – December 2019

    This month's FS roundup includes Henderson fine, operational resilience, tax dodge CEO banned, CMA prompted refunds from HSBC/Santander and more...

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    FCA Compliance News – November 2019

    This month's FS roundup includes mortgage prisoners, discretionary finance commissions, good practice for AFMs, OFSI 2nd Annual Review, PRA focus for ...

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    FCA Compliance News – October 2019

    This month's FS round-up includes fines for Prudential & Tullett Prebon, travel insurers warned over high commissions, FCA review of unit-linked trust...

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    FCA Compliance News – September 2019

    Our pick of the biggest compliance news in Financial Services this month: This month's roundup includes fines for destroying documents & money launder...

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    FCA Compliance News – August 2019

    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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    17 FAQs Answered About SMCR for Solo-Regulated Firms

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

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    FCA Compliance News – July 2019

    Our pick of the biggest compliance news in Financial Services this month: This month's roundup includes fines for BOS, HSBC historical debt collection...

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    5 Steps FCA Solo-Regulated Firms Should Take to Prepare for SMCR

    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...

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    SM&CR Duty of Responsibility - What You Need to Know

    The extension of Senior Managers and Certification Regime (SM&CR) to all FSMA authorised firms introduces a new ‘Duty of Responsibility’ for Senior Ma...

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    FCA Compliance News – June 2019

    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...

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    FCA Compliance News - May 2019

    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 ...

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    FCA Compliance News - January 2019

    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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    FCA Compliance News - November 2018

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

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    16 FAQs Answered About the SMCR Extension to Insurers

    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...

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    What should Insurers be doing now to prepare for SMCR

    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...

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