FCA Handbook
Every year, financial advisers require a Statement of Professional Standing to ensure they meet the minimum standards of working. As part of this certification, advisers must keep up with industry updates, and meet ethical behavior standards.
MCOB: mortgages and home finance conduct of business
The UK mortgages and home finance industry has seen significant shifts since the pandemic, notably with interest rates rising and new AI developments for affordability decision-making.
Conduct and culture: A growing focus for U.S. regulators?
Discover how the focus on conduct and culture has developed over the last several years in U.S. financial regulation.
Consumer Duty: how does surveillance play its part?
“Eat the frog”. That was the advice from FCA executive, Sheldon Mills, when he told compliant firms to prioritize the most difficult tasks in order to comply with the new Consumer Duty regulation.
Transparency continued – The SEC clarifies its examination selection process for broker-dealers
The SEC’s Division of Examinations released a Risk Alert defining the elements it weighs when selecting broker-dealers as examination candidates, illuminating how firms can prepare and refine their compliance efforts.
Regulatory recordkeeping enforcement roundup: A storybook retelling
Follow the complete regulatory recordkeeping tale from initial enforcement action to present day and obtain insights analyzing the facts.
Social surveillance: The importance of comms capture for social media compliance
In addition to capturing communications channels like email, IM, and SMS, compliance teams must realize the importance of capturing data from social media platforms. To effectively manage widely used applications, firms should consider social surveillance and strategies to curb risks.
Five developments to show why operational resilience should be on your radar
Operational resilience is an essential practice to remain protected in a landscape of intensifying cyber threats. Regulators have taken steps to demonstrate their increasing focus on this matter by implementing guidelines, frameworks, and direction to preserve security.
How are financial regulators approaching AI integration?
Regulators globally have been implementing a variety of measures to manage the utilization of AI within the financial sector. We take a look at the key approaches so far.
Exclusive: A fireside chat with Jamie Bell, Head of Secondary Market Oversight at the FCA
On February 7, 2024 we were joined by Jamie Bell, Head of Secondary Market Oversight, FCA, to discuss conduct, culture, and compliance challenges – from non-financial misconduct to AI and crypto.
ECB’s cyber resilience stress tests are on the horizon for 2024
Amidst a series of regulatory conversations spotlighting security, stability, and resilience, the ECB has announced a stress test aimed to assess how financial firms respond when faced with a simulated cyberattack.