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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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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 Services, PPI

Financial services failings prompts rise in Ombudsman complaints

Financial services firms across the board should be questioning their commitment to customer care following a rise in complaints made to the Financial Ombudsman Service (FOS). In the last financial year, some 388,000 new

FOS complaints were made, up...

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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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