top of page
Consultancy and Ready to Go E-Learning
"Making Compliance Simple"
Compliance Insights Articles
Search
Robert Bell
Mar 31, 2020
FCA Guidance on Coronavirus for Affected Firms
The effects of the spread of coronavirus are being felt across the board in the UK, and the Financial Services sector is facing a raft of...
Robert Bell
Mar 18, 2020
CARE and BRUCE Protocols
In our last few articles, we’ve looked at how to use conversation techniques to help staff broach the subject of support with potentially...
Robert Bell
Mar 4, 2020
Conversation techniques for supporting vulnerable customers
The FCA’s focus on vulnerable customers is continuing apace in 2020, with the regulator announcing on 6 February that it will launch a...
Robert Bell
Feb 26, 2020
How to Educate Your Team on Changes to FCA Regulation
A collective “sigh” emanates from the room. Not an unusual response to additional compliance training. Traditionally seen as the “heavy”...
Robert Bell
Jan 20, 2020
What’s coming up in 2020 from the FCA?
As we get stuck into 2020, let's take a look at what’s coming up from the FCA. Dear CEO Letter – Non-Financial Misconduct The Senior...
Robert Bell
Jan 8, 2020
What does the FCA's Systems and Controls Sourcebook (SYSC) mean for firms and Senior Managers?
The past two years have brought a whirlwind of new regulatory requirements, guidance and legislation that financial services firms have...
Victoria Bell
Dec 11, 2019
FCA's Priority of Operational Resilience - What Does That Mean For Your Firm?
High on the FCA’s cross-sector priorities for 2019/20 is ‘operational resilience’. The Regulator has recently turned its attention to...
Robert Bell
Oct 17, 2019
GDPR Considerations For Handling Vulnerable Customer Personal Data
With the FCA’s Vulnerability Consultation, in addition to recent media focus on mental health, it’s clear that firms are taking this as...
Victoria Bell
Oct 9, 2019
How can firms fill the gap between the FCA’s expectations on vulnerable customers and reality?
How difficult is it to spot vulnerability in a customer? Very, if we look to a recent poll conducted by More2Life, which suggested that...
Robert Bell
Sep 30, 2019
The FCA Are Reviewing Outsourcing as Part of Its Business Plan 18/19
As part of the FCA Business Plan 18/19 the FCA are currently reviewing arrangements that firms have in place when outsourcing. They...
Robert Bell
Aug 27, 2019
What's on the FCA's Regulatory Horizon for 2019 - 2020?
The FCA’S 2019/20 business plan sets out upcoming regulatory changes over the next 10 months, as well as giving an indication of what is...
Robert Bell
Aug 21, 2019
The Importance of Being Ahead of the Curve - Vulnerability
Clearly, vulnerability is becoming a central issue in society, as can be seen by the increase in the usage of the word over time. The...
Robert Bell
Jul 16, 2019
Payment Services Directive 2 – What it means for Debt Collection Firms
At a high level PSD2 aims to: contribute to a more integrated and efficient European payments market improve the level playing field for...
Robert Bell
Jul 2, 2019
Fair Treatment of Existing Customers According to the CMA's Findings
Following the Competition and Markets Authority’s response to the super-complaint submitted by Citizens Advice, the Financial Conduct...
Robert Bell
Jun 17, 2019
The FCA Tackles Overdraft Charges
Having already taken action in the payday market, followed by the rent to own and motor finance sectors the FCA’s next target is bank...
Robert Bell
Jun 10, 2019
Key Provisions for Debt Collection Firms in the Consumer Credit Sourcebook (CONC)
Last week’s article covered some of the key provisions in CONC for consumer credit firms with a focus on helping customers who are...
Robert Bell
Jun 4, 2019
Key Provisions for Consumer Credit Firms in the Consumer Credit Sourcebook (CONC)
To celebrate the launch of our CONC Guide, an easy to understand overview of CONC, I thought it would be useful to produce an overview of...
Robert Bell
May 29, 2019
4 Main Drivers of a Healthy Culture in Financial Services Firms
Last month, the Financial Conduct Authority published its 2019/20 business plan, setting out the regulator’s priorities for meeting its...
Victoria Bell
May 22, 2019
The FCA Reveals Project Innovate has Benefitted Almost 700 Firms
The Financial Conduct Authority have revealed that almost 700 firms have benefitted from support provided by their innovation programme,...
Robert Bell
Apr 9, 2019
Financial Services Regulation Round-Up - March 2019
As always, we aim to keep you right up to date with all matters to do with financial services compliance, as such we have produced a...
Compliance Insights Newsletter
The Email Newsletter for Compliance Professionals. Sign up to get regular compliance advice, news and updates delivered straight into your inbox. Designed to help you keep your finger on the pulse on the latest developments in compliance and it’s FREE.
bottom of page