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Risk Management Industry News for FCA Regulated Businesses

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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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Regulation, Financial Services

Climate change moves centre stage as a regulatory concern

How seriously are financial services firms taking climate change risks? Recent signs suggest that for those not placing them as a high priority, could well see regulatory trouble ahead.

Gaining an understanding into how climate change risks could...

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Financial Crime, Cyber Crime

College for card fraud – how fraudsters learn on the dark web

Online ‘classes’ in how to commit card fraud are available on the dark web, making it easier for novices to find ways of committing financial crime.

Online tutorials were exposed by UK-based Featurespace, a provider of behavioural analytics...

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