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Risk Management Industry News for FCA Regulated Businesses

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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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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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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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FCA, Regulation

Vulnerable customers are centre stage as FCA launches consultation

The Financial Conduct Authority has issued potential guidelines and a consultation on one of its highest priorities – the recognition and fair treatment of so-called vulnerable customers.

The regulator is requesting industry feedback to some suggested...

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FCA, Regulation

FCA on the warpath as value of fines rises threefold

Anyone who believes the Financial Conduct Authority was treading water in terms of its approach to enforcement should think again. The regulator has issued some swingeing penalties and in the last six months to the end of June, some 10 fines had a...

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FCA, Regulation, Financial Crime

Regulators toughen up when punishing the rate riggers

Memories of the financial crisis have yet to fade and it is clear today’s regulators are taking a more robust approach than they used to. Their resolve can be seen most apparent in the high-profile cases resulting in jail fines and other sanctions,...

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