Our Insights & Articles
7 Key Benefits of Compliance Monitoring for Newly Authorised Firms
For a newly authorised firm in the financial services sector, the regulatory landscape can feel overwhelming. The Financial Conduct Authority (FCA) and other regulatory bodies set high compliance standards to ensure market integrity and [...]
Beyond Box-Ticking: Why Compliance Monitoring Matters Now More Than Ever
According to the Financial Conduct Authority's (FCA) Annual Report 2023/24, UK financial institutions paid over £577 million in fines for compliance breaches. Compliance monitoring is a critical component of a financial institution's governance, risk [...]
Meeting FCA Standards with Compliance Monitoring Software
In the UK financial services sector, meeting Financial Conduct Authority (FCA) standards is essential for regulatory compliance. Compliance monitoring software plays a critical role in helping firms stay in line with FCA expectations by [...]
Putting the fear of non-compliance to bed – 3 Case Studies & Solutions
Non-Compliance Horror Stories The threat of non-compliance with FCA regulation has serious consequences for both individuals and firms, bringing risks that range from financial penalties to reputational damage and instill fear and caution. Here [...]
The Impact of RegTech on Compliance Efficiency and Cost Reduction Efforts
What is RegTech and who uses it? Regulatory Technology, or RegTech, refers to powerful tools helping financial institutions stay compliant with ever-changing regulations. The innovative use of technologies are helping facilitate compliance with regulatory [...]
Implementing Technology: Barriers to Change
Why should I implement Compliance Management Software?There are several reasons why individuals or firms may struggle to adapt to new operations and technologies in the financial services industry. These reasons can be broadly categorised into [...]
Other Regulatory News
- Webinar On Demand: Consumer Duty The Aftermath
- FCA Proposed Changes to Consumer Credit Regulatory Returns
- Upcoming Retail-Disclosure Requirements Reform
- Key Messages for Firms – Consumer Duty Fair Value Assessment
- The FCA Digital Securities Sandbox
- The UK’s Struggle with Financial Crime Reaches Institutional Heights
- FCA: Assessing Firms’ Compliance with Cryptoasset Financial Promotions Rules
- FCA CP24/20: Safeguarding Reforms for Payments and E-Money Firms
- Webinar On Demand: Expert Witness Services in Compliance
- FCA Quarterly Consultation No. 45 (CP24/18) – Chapter 3: Facilitating LTAF investment
- UK Ranked Second in Global Money Laundering Offences
- Good Practice and Areas to Improve – Appointed Representative Principals
- ViCA AI Tool Gains Momentum Among Governance, Risk, Compliance and Legal Professionals
- ComplyCrypto Depository Limited Granted FCA Registration for Cryptoasset Exchange Services
- Digital Operational Resilience Act: 4 Months Away