Katharine Leaman3 minWhy are the regulators getting involved in D&I?Why are the regulators getting involved in D&I?
Katharine Leaman3 minStrong Product GovernanceWe've had several requests for an article on product governance, here it is
Katharine Leaman3 min7 tips to enhance your Market Abuse Risk Assessment In this article we provide some tips on what you should be considering as you refresh your own market abuse risk assessment.
Katharine Leaman3 minEye of the tiger: rising up to the post-Brexit challengeThis article distils the recommendations from the recent report by the Taskforce on Innovation, Growth and Regulatory Reform (TIGRR)
Katharine Leaman4 minThe client is not always right: recent fx derivatives mis-selling casesA compliance perspective on the mis-selling allegations against BNP Paribas and Deutsche Bank.
Katharine Leaman2 minHow do you know you got SMCR right?Was your SMCR implementation a success? Here's our top five areas to check
Katharine Leaman4 minRegulatory jurisdiction over global websitesThis blog looks at FCA action against a non-UK firm that was using its UK licence & a global website to draw customers to its CFD platform
Katharine Leaman4 minAre you meeting Threshold Conditions?To become, and remain, authorised regulated firms must meet Threshold Conditions at all times. This article looks at some trends and changes
Katharine Leaman5 minRelating to a data driven supervisorThis article considers the FCA’s desired new supervisory world which is driven by data.
Liam Crellin6 minFinancial Promotions in a Digital AgeIn this article we look at the online harms bill and the FCA concerns about the scope of that bill.
Katharine Leaman4 minOutsourcing and Third-Party Risk ManagementIn this blog we distil some of the changes & messages from the PRA & FCA recent publications about outsourcing & third-party risk management
