Compliance Training Blog

Now that the Senior Managers and Certification Regime (SM&CR) has been extended, how does it affect insurance firms? We have the answers to 17 frequen...

The Financial Conduct Authority (FCA) has voiced concerns about insider trading given the rise in traders working from home. We have a few tips to hel...

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

So far 2020 has been less of a bumper year for FCA fines than 2019 (after a record £392 million last year). We've analysed the largest fines in terms ...

For many firms SM&CR created a step change in personal accountability, causing a potential headache - especially when dealing with those who've never ...

It's not rocket science to say that effective training and competence are critical to SM&CR compliance. But don't underestimate the scale of the chall...

Monetary fines are the most common punishment for financial crimes. They serve as a powerful tool for encouraging companies to apply best practices to...

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...

It's become more important than ever for firms to appreciate the spirit of SM&CR. This is an opportunity for your firm build a culture of accountabili...

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...

SM&CR is a real opportunity to establish healthy cultures, effective governance, and greater personal responsibility. Those firms that do will build a ...

This month's roundup includes fines for destroying documents & money laundering, poor-practice in claims management Ads, phased Strong Customer Authen...

Skillcast hosted a special networking breakfast at The Gherkin in London on Tuesday 24th September to present tools for meeting SM&CR training, attest...

This month's roundup includes fines for Standard Life & Cathay, KPMG dismissal, Nationwide overdraft refunds, FCA defined benefit transfer protections...

This month's roundup of Financial Services news includes fines for BOS, HSBC historical debt collection, UBS insider dealing, rocketing FCA penalties ...

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 ...