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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News
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
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T&C Strategy Group
Sponsored by Trailight, and Chaired by Callum Grant. 25 senior T&C managers from 22 major firms joined us at the Walbrook Club in London, to engage with the regulator, and
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