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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.

FCA Compliance News - March 2019

Here's a selection of news stories from financial services compliance over the last month. These illustrate important messages coming from the FCA but...

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FCA Compliance News - February 2019

For us, compliance is about people - their motivations, their errors of judgement, and in some cases, brazen disregard of the rules. Here's a selectio...

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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.

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FCA Compliance News - December 2018

The end of year has proved to be very busy in financial sector compliance, with numerous publications concerning Brexit being issued on top of the ong...

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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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How SMCR differs from SIMR and APR

For those new to the SMCR it's useful to understand how the regime differs from SIMR and APR. We outline the 12 most important differences.

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16 FAQs Answered About the SMCR Extension to Insurers

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...

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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 took place on December 10th 2018. Insurance firms nee...

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Key MiFID II Research Checks

The key MiFID II research checks start with the establishment of research payment accounts with the agreement of clients. If these required for existi...

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Have You Done Your Research on Research Costs?

MiFID II requires investment firms to demonstrate compliance with a wide range of new measures, building on the original MiFID from 2007.

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Don't let MiFID II spoil the party

MiFID needn't be a headache, just follow our tips to get your compliance on track.

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5 things you should be doing to put customer needs first

The Financial Conduct Authority (FCA) criticised Lloyds Bank Group and issued a £28m fine after learning about the conflict of interest self-evident i...

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MiFID II - Threat or Opportunity?

Which side of the debate are you on? Is MiFID II a threat or an opportunity...

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MiFID II and Suitability Tests

In response to scandals like the misselling of PPI, the EU introduced MiFiD II, requiring those offering investment advice to make sure that it is sui...

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5 steps you should take to prepare for Direct Electronic Access

Where market members give customers direct electronic access to enter orders into their trading system for execution firms are obligated to mitigate r...

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5 Essential Controls for High Frequency Algorithmic Trading

Disruptive trends like High Frequency Algorithmic Trading (HFAT) and machine learning are transforming financial services. So it's important to know w...

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5 ways to get back on track for MiFID II

MiFID II aims to standardize practices across the EU and restore confidence in the industry, in the wake of the 2008 financial crisis. But many asset ...

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10 Ways to Protect Yourself from Insider Trading

The Financial Conduct Authority (FCA) clampdown on insider trading is gaining pace, after a number of high-profile investigations.

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6 top tips to put clients at the heart of your business

According to figures released by the Financial Conduct Authority (FCA), more than £27bn has been paid out already to those who were missold PPI.

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Firms get APA status for MiFID II

A number of firms have been granted APA status by the Financial Conduct Authority (FCA) in readiness for the introduction of MiFID II.

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