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March 2022 Newsletter

Welcome and happy spring!

I am delighted to share our quarterly newsletter. Writing this, I simply could never have imagined that I would be reflecting on a global challenge worse than the pandemic. Our team’s thoughts are constantly with everyone affected by the unfolding war and humanitarian tragedy in Ukraine.

Closer to home, we continue to enjoy life as a young and innovative RegTech and FinTech firm. So much is happening in our sector. Motivated by the dynamism we are seeing; I have taken the opportunity to reflect on the ‘Up and Up of RegTech’.

We also have our regular features:

  • Welcome to our Community, where we welcome some new high-profile clients.
  • Quote of the Quarter, where we examine the suggestion that compliance needs to be “dragged into the 21st century” (I thought that was a bit strong!).
  • And, our Regulator Watch tracks regulators’ activity levels and emerging regulatory themes. Regulators’ activity really surprised me this quarter – find out why and what is really concerning me. 
  • Our System Status and Update confirms some of the numerous feature upgrades coming to My Compliance Centre.
  • We are strongly aware of the challenges faced by both Senior Managers of regulated firms and the sector. We reflect on how we can assist Senior Managers in managing their responsibilities and Reasonable Steps in practical terms.
  • We are also proud to publish the first in a series of articles about the Unintended Consequences of Regulation, inspired by Barclays’ recent fine. 

As always, thanks for reading our newsletter and to our fantastic clients for the ongoing partnership we enjoy with you.

Ben Mason, Chief Executive Officer

Helping clients, prospective clients and partners remain informed about compliance automation developments and how compliance management systems are bringing new benefits to firms regulated for financial services.

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