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Risk Management Industry News for FCA Regulated Businesses

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FCA, Financial Services

How London Capital & Finance misled investors

The recent collapse of London Capital & Finance (LCF) acts as a sharp reminder that, where investments are concerned, there needs to be absolute clarity as to the nature of what is being sold as well as who the provider is.

Of course, the fact the ...

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FCA, Brexit, Regulation update

The FCA’s business plan – learning from its key messages

Last month, the FCA produced its business plan for 2019-20, setting out key priorities and activities for the year ahead. There were plenty of nuggets to help firms  improve their risk profiles as well as a raft of insight into regulatory strategy.

...

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FCA, UK Senior Managers Regime, SMCR

FCA shares experiences of SMCR in Banking

Very soon many of the organisations supervised by the FCA will have to conform to the Senior Managers and Certification Regime (SMCR). As many people know the SMCR already applies to UK banks, building societies, credit unions, branches of foreign...

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FCA, Financial Crime, Cyber security

Regulator focus on vulnerable customers set to continue

The FCA are due to release further guidelines, in the coming months, in regards to identifying vulnerable customers. It’s vital that firms do their best to identify those who may need additional support and the regulator may well sanction those who...

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FCA, Financial Crime, Cyber security

Financial crimes of the future: can the regulators keep up?

Tackling financial crime can be an uphill battle, with criminals often employing new tactics and strategies in order to move the goalposts for regulators.

Attempting to stay one step ahead is therefore essential, with some understanding into the...

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FCA, Cyber security, Regulation update

Can the FCA take control of cryptoassets?

The FCA is becoming increasingly hands-on when it comes to cryptoasset regulation and one thing is clear, new rules are coming. Risk managers can expect a key update this summer when the regulator will report back on its consultation, which closed on...

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