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Module of the Quarter 

Introducing Register Builder / Spotlight on:  Register Builder  Customise and build your own registers in line with your firm’s requirements.  The register builder module will allow you to build as many registers as required bringing your excel sheets into one system.   Fully customisable in that you can control:  This module is being used to help […]

System Updates

We were very excited to release an update to our application, which introduced a new module ‘Register Builder’ as well as improving admin functionality:  Since the last newsletter we have also made changes to the following modules:  PA Dealing Register  We have updated the PAD reports to include broker account and holding reports, managers can […]

FCA Expectations for Wealth Management & Stockbroking Firms 

The Financial Conduct Authority (FCA) recognises the significant role of wealth managers and stockbrokers in assisting consumers to manage and safeguard their assets. However, the sector has also seen significant issues, such as consumer exposure to scams, fraud, and inappropriate high-risk investments. The FCA’s letter addresses these issues and outlines expectations for firms.  Key Harms […]

How to automate your Senior Managers and Certification Regime

In the highly regulated landscape of the UK financial services industry, the Senior Managers and Certification Regime (SM&CR) stands as a pivotal framework. Implemented by the Financial Conduct Authority (FCA), SM&CR is designed to foster accountability and enhance transparency within financial firms. One of the critical aspects of SM&CR is the need for firms to […]

How to configure your internal policy Attestations programmes 

In the dynamic landscape of the UK financial services sector, regulated by the Financial Conduct Authority (FCA), the importance of rigorous internal policy attestations cannot be overstated. These attestations serve as a vital checkpoint, ensuring that employees not only comply with internal policies but also adhere to the broader regulatory frameworks set by the FCA. […]

Evaluating the Need for File Checks and Reviews in Financial Services Firms 

In the realm of financial services, where regulatory compliance and quality of advice are paramount, firms often grapple with the decision of whether to implement file checks and reviews. These processes are not just about adhering to regulations set forth by the Financial Conduct Authority (FCA) in the UK; they are also crucial for maintaining […]

How to Streamline Your File Review Process 

In the UK financial services sector, adhering to the Financial Conduct Authority’s (FCA) regulations is paramount, particularly regarding the sale of financial products and the provision of advice. Given the risks associated with incorrect recommendations, regulated firms often conduct file reviews post-transaction to assess the quality of advice offered. Streamlining this file review process is […]

How to Manage Financial Promotions Effortlessly: Traditional Methods vs. Technology-Enhanced Approaches 

In the UK, financial services firms are subject to stringent regulations governed by the Financial Conduct Authority (FCA), particularly concerning financial promotions, which refer to the marketing of financial products or services. Ensuring compliance with these regulations can be challenging. This article explores traditional manual approaches and contrasts them with modern technology-driven solutions to manage […]

How to stay on top of FCA Regulatory Change Management 

In today’s ever-changing regulatory landscape, it is crucial for businesses to stay on top of FCA regulatory change management. The Financial Conduct Authority (FCA) continuously introduces new regulations and updates existing ones to ensure it meets its statutory objectives. Failing to comply with these regulations can result in severe penalties and reputational damage. Therefore, understanding […]

How to Create, Track and Manage Your Compliance Monitoring Programme

All compliance professionals working in the UK’s financial services industry understand how important it is to achieve full FCA compliance. Maintaining compliance is good for your partners and customers, and protects the business itself from reputational and financial risk. It also helps the industry as a whole to avoid a ‘race to the bottom’ scenario.  […]