FCA Compliance

10 Ways to Prevent Insider Trading
10 Ways to Prevent Insider Trading

10 Ways to Prevent Insider Trading

The FCA is concerned insider trading risks are increasing as remote working becomes a norm. We have 10 tips to protect...

Top 10 FCA Compliance Priorities in 2023
Top 10 FCA Compliance Priorities in 2023

Top 10 FCA Compliance Priorities in 2023

We discuss the major compliance issues facing the financial services industry in 2023 from data, due diligence, IFPR,...

Streamlining SMCR for Kentro Capital
Streamlining SMCR for Kentro Capital

Streamlining SMCR for Kentro Capital

When Kentro wanted to find a way to improve the efficiency of their SMCR compliance processes, they turned to Skillcast...

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Highest FCA Fines of 2022

Highest FCA Fines of 2022

The FCA picked up the pace of issuing penalties as 2022 progressed. We've analysed the nature of these breaches and...

Proliferation Financing Obligations

Understanding Proliferation Financing Obligations

Proliferation financing is a financial crime which is heavily fined. That's why it's important not to miss a beat with...

The Biggest Financial Crime Fines

The Biggest Financial Crime Fines

Monetary fines are a common punishment for financial crime. From bribery to money laundering, we examine the biggest...

Compliance Bulletin

Compliance Bulletin

Our monthly email provides best practices, expert opinions, industry insights, news and key trends in regulatory compliance training, digital learning, EdTech and RegTech.

Consumer Duty Questions Answered
Consumer Duty Questions Answered

Consumer Duty Questions Answered

The FCA's new Consumer Duty raises the bar for firms it regulates. Find out what this duty entails and how to meet FCA...

FCA Consumer Duty Implementation Plan
FCA Consumer Duty Implementation Plan

FCA Consumer Duty Implementation Plan

The FCA's deadline for having a consumer duty implementation plan is fast-approaching. We break down how to develop...

What is SMCR Duty of Responsibility?

What is SMCR Duty of Responsibility?

Sharon Williams examines how Senior Managers can protect themselves from enforcement action arising from the SMCR Duty...