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Risk Management Industry News for FCA Regulated Businesses

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Financial Services, Financial Crime

Internal fraud – why financial services must remain vigilant

A number of recent cases have resulted in respected names within financial services making it into the news - for all the wrong reasons. These firms had all employed people in positions of responsibility who had then committed varying degrees of...

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Regulation, Banking

IT failures – why it’s time for banks to get their houses in order

Is it any wonder that the Financial Conduct Authority and the Treasury select committeewant to see banks improve their IT resilience? More than seven million people in the UK were left unable to use their credit or debit card because of IT failings...

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Risk Management, Brexit

Why too many businesses are unprepared for a no deal Brexit

Recent research has found that two-fifths of UK businesses – primarily SMEs – are unprepared to cope in the event of a no deal Brexit. The survey, from the British Chambers of Commerce (BCC), found that two-fifths (41%) of all businesses had not...

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Regulation, SM&CR

Senior Managers Regime tops list for keeping CEOs awake at night

The Senior Managers and Certification Regime (SMCR) has been revealed as the biggest concern for CEOs within the investment management and financial adviser sector.

What is more, the 2019 CEO Sentiment Research Report, from trade association PIMFA,...

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Financial Services, GDPR

ICO piles on the pressure to safeguard personal data

Recent statements suggest that there is still work to be done when it comes to embedding GDPR into an organisations processes. 

There is an assumption placed on all businesses that the data and information they collect should be used responsibly....

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FCA, Financial Services, Financial Crime

FCA warnings of company cloning signals an epidemic

What do Smith & Williamson, Fidelity and Rothschild have in common? Apart from all being well known within financial services as investment providers, the answer is all three were recently cloned.

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