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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
Aug 7, 2018
What is a DPIA and what must you do when you need one?
Following the implementation of the General Data Protection Regulation eleven weeks ago, the Information Commissioner’s Office have...
Victoria Bell
Apr 18, 2018
FCA's Final Guidance and Rules on Staff Incentives and Remuneration in Consumer Credit
The Financial Conduct Authority (FCA) have published the final rules and guidance relating to staff incentives, remuneration and...
Robert Bell
Mar 21, 2018
Personal Data Breach: What do you need to consider under GDPR?
With many changes to our working practices on the horizon it’s easy to forget the importance of understanding what to do when things go...
Victoria Bell
Mar 15, 2018
What are DPIAs and when are they required under GDPR?
Many firms and organisations will be familiar with the concept of a Data Protection Impact Assessment (DPIA) – they have been recommended...
Robert Bell
Mar 7, 2018
Breach Reporting under GDPR: What You Need to Know
One of the changes to be introduced under the General Data Protection Regulation (GDPR) is the requirement to report breaches to the...
Robert Bell
Jan 23, 2018
GDPR – The Role of Your Data Protection Policy
One question I have been asked recently is “what should be in our GDPR compliant Data Protection Policy?” In fact, it’s something I have...
Robert Bell
Jan 18, 2018
Regulatory Horizon for 2018
2018 promises to be a bumper year for compliance. I can hear what you are thinking, you’ll be muttering, “Isn’t it always?” Seriously,...
Robert Bell
Jan 10, 2018
4 Steps to Effective Auditing
The serious repercussions of a lack of compliance controls really came to our attention in 2017. With the Grenfell Tower tragedy and a...
Robert Bell
Dec 5, 2017
Why Consumer Credit Firms Need to Audit Their Staff Incentive Schemes
The FCA’s consultation on staff incentives - covering remuneration, incentive schemes and performance management – in consumer credit...
Robert Bell
Nov 1, 2017
The FCA's take on your Christmas Bonus
As we enter into November it is probably the time of year you are planning your team’s Christmas bonus. You may decide to pay your bonus...
Robert Bell
Oct 12, 2017
How to Improve Audit Effectiveness
Gaining oversight of the performance of your organisation is central to any FCA authorised firm, not least ensuring compliance with the...
Robert Bell
Sep 21, 2017
FCA Authorisation for Consumer Credit Firms - A Guide
Authorisation is the cornerstone of the Financial Conduct Authority’s (FCA) regulatory regime. When you apply for authorisation you will...
Robert Bell
Sep 13, 2017
Why Is the Third Line Quality Assurance Function so Critical?
It has now been three and a half years since we moved from the clutches of the Office of Fair Trading to those of the Financial Conduct...
Robert Bell
Jul 27, 2017
5 Steps to Risk Management in Debt Collection
The Financial Conduct Authority's (FCA) consultation on the extension of the Senior Management and Certification Regime (SM&CR) to all...
Robert Bell
Jul 4, 2017
Why is Risk Management so important?
Risk management is a concept that is on everyone's radar to some extent. We've all heard of risk management, and it plays a very...
Victoria Bell
Jun 13, 2017
Guidance on the Treatment of Politically Exposed Persons (PEPs)
Our Compliance Briefing this month covers, among other things, the Financial Conduct Authority's (FCA) guidance consultation on how...
Robert Bell
May 24, 2017
GDPR - 10 Steps to Compliance
We are all hearing a lot about the General Data Protection Regulation (GDPR) at the moment, and rightly so. The changes we need to make...
Robert Bell
Mar 30, 2017
With change comes risk...
Agility and, therefore, change is beneficial to all organisations; being able to change products, services and internal processes allows...
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