The FCA is making some changes to its focus under conduct of business. Don Scott gives you the insight you need to know.

Here's why independent assurance is a must for SMCR compliance

Recent issues have highlighted the need for stock liquidity risk management. Here are 3 questions to help you get started.

It's still business as usual in the regulatory world. Technical Director Don Scott explains how you can avoid being caught out.

Mini-bonds are under the regulatory spotlight. David Boyhan delves into what mini-bonds are and what can be learned from recent failures in the market.

In conjunction with its 2019/20 Business Plan, the FCA has published its research agenda, which highlights its current areas of interest across five key areas.

SM&CR is one of the biggest changes on the horizon for 2019 and could potentially cause a compliance headache for the advisory sector. We share our outlook on this regime and others for the year ahead.

MiFID II recently hit a significant milestone, having been in force for 12 months. We examine the impact it has had on the industry.

For solo-regulated firms, the forthcoming extension of SMCR represents the next major regulatory change on the horizon.

As the Brexit saga continues to unfold, we bring you a digest of Brexit in January 2019 and look at how the regulator is responding.

By end of this year, senior managers could be held personally accountable for any conduct failings within their areas of oversight under SMCR.

Let Scrooge's three ghosts take you on a journey of compliance past, present and future.

On the 29th November the FCA responded to the requests of the Treasury select committee by publishing an impact assessment paper on the UK's departure from the EU...

Pension benefits now need to be gender equalised, accounting for the impact of GMP. TCC's Head of Actuarial and Redress, Harry Eastwood, examines...

Many firms have started their program or are in early stages of preparations, but it’s not too late to take the initial steps towards SMCR compliance.

In September 2018 the FCA requested detailed information from a small number of firms on their conduct risk frameworks.

High-cost credit is used by over three million consumers in the UK, generally those who are the most vulnerable. In light of this, the FCA is continuing its focus on the protection of consumers and its ongoing assessment of vulnerability.

The FCA has decided to consult on new guidance on unfair contract terms. This is our summary of their guidance consultation paper.

TCC Regulatory Consultant Olivia Brady examines the FCA's approach to customer protection, and how their accountability is on the increase.

The regulator’s ongoing work in this area has highlighted a need for market intervention, but also limitations in what traditional intervention methods could realistically achieve in this sector.

With levels of regulatory scrutiny showing no signs of abating, we look at where firms can expect the regulator to focus on in 2018.

Check out our steps to help you ensure a smooth transition to the new Senior Managers & Certification Regime.

The FCA's latest consultation provides the clearest indication of how the SMCR is shaping up. TCC's James Marshall highlights the key points.