News

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FCA CP 16/29 MiFID II Consultation Paper III

Of particular relevance is section 14 – Knowledge and Competence requirements – which examines the impact these will have on competence management and T&C

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FCA FS16/6, FS 16/7, FS16/8, FS16/9

Valuable lessons and pointers for Accountability 1 and Accountability 2 (2018 extension) firms.

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FCA CP16/27 – Applying conduct rules to all NEDs

This is an important development, as part of the new account regimes, which will present additional challenges for firms.

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FCA CP16/26 – Guidance on duty of responsibility

Key guidance on what the regulator will expect Senior Manager Functions (SMFs) to evidence to demonstrate they have taken “reasonable steps”.

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Individual Accountability: What firms need to consider

A whitepaper designed to help you prepare for the extension of the Individual Accountability Regime to all sectors of the financial services industry by – By Charles Cattell.

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The 9 steps to addressing EVB in your T&C Framework

A whitepaper designed to help you successfully address Ethics, Values and Behaviours in your T&C Framework.

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The 6 Benefits of an Aligned T&C Framework

A whitepaper designed to help you discover the benefits of proactively reviewing and re-aligning your T&C framework

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Applying a marginal gains mind-set to CPD management

A whitepaper designed to help you get the best out of your CPD activities and improve your CPD management.

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Trailight announces partnership with Medius Consulting

Medius consulting, a compliance consultancy, and Trailight have agreed partnership terms with the aim of providing a blended full-service provision to help firms manage the set

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Kestrel Partners invests in IAR platform

“Automation, transparency and audit trail – the IAR Platform helps me drive a culture of compliance and accountability throughout the firm, whilst getting us ahead of the curve on