ArticlesRichie2021-10-14T18:11:06+01:00

Published Articles

Pondering Diversity
We can all agree that fi nancial services fi rms ought to hire and promote staff without discrimination, as well as…

Oct 2021

Underperforming, overreaching
Amid the disruption & turmoil of 2020, the Financial Conduct Authority’s ability to achieve certain of its longer-term…

Feb 2021

Winter is coming – DP20/2 augurs prudential feats for investment firms
A recent discussion paper sets out to replace the patchwork of prudential…

Sep 2020

Cultural star-gazing
The Financial Conduct Authority’s latest discussion paper on culture points to a new focus on the purpose under…

May 2020

CP19/20 –Adequate Financial Resources
A recent missive from the FCA appears to place new requirements on firms with regard to ‘adequate financial resources’…

Oct 2019

The FCA’s ‘100 flowers’ discussion paper
“Culture and governance is a priority,” stresses the FCA. Yet pinning down how to repair and sustain positive beliefs…

May 2018

Archive 2017

Extension of the SMCR

Sep 2017

Warning knell for retail contract-for-difference providers

Feb 2017

Archive 2016

Applying the SMCR to out-of-scope firms (Compliance Monitor)

Nov 2016

Applying SMCR to out-of-scope firms (The Review)

Nov 2016

Archive 2015

Delivering your FCA authorisation

Nov 2015

Preparing for a regulatory visit

June 2015

S&I Review- Keeping up with CASS

May 2015

Archive 2014

Client Money: Don’t be in a Bad Place

Dec 2014

Conduct Risk and the Single Firm

Mar 2014

S&I Review- Enforcement

Feb 2014

Archive 2013

Married to the FCA

Oct 2013

Regulation, Jim, but not as we know it

Jun 2013

Mar 2013

Archive 2012, 2011, 2010, 2009

Journey to the Centre of the New Regulatory Regime

Oct 2012

And the Gold Medal goes to…

Sep 2012

Lend me your Ears

Apr 2012

Wheatley’s New Shoes

Mar 2012

Manchester to Cupertino and Back

Nov 2011

May 2011

Apr 2011

Mar 2011

Turn and Face the Strange

Feb 2011

Keeping it Simple in a Complex Regulatory World

Oct 2010

Oct 2009

Financial Times

Jun 2009

Compliance Reporter

Mar 2009

Compliance Reporter

Feb 2009