Pondering Diversity We can all agree that fi nancial services fi rms ought to hire and promote staff without discrimination, as well as…
Underperforming, overreaching Amid the disruption & turmoil of 2020, the Financial Conduct Authority’s ability to achieve certain of its longer-term…
Winter is coming – DP20/2 augurs prudential feats for investment firms A recent discussion paper sets out to replace the patchwork of prudential…
Cultural star-gazing The Financial Conduct Authority’s latest discussion paper on culture points to a new focus on the purpose under…
CP19/20 –Adequate Financial Resources A recent missive from the FCA appears to place new requirements on firms with regard to ‘adequate financial resources’…
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…
Sep 2017
Warning knell for retail contract-for-difference providers
Feb 2017
Nov 2016
Applying SMCR to out-of-scope firms (The Review)
Nov 2015
Preparing for a regulatory visit
June 2015
S&I Review- Keeping up with CASS
May 2015
Dec 2014
Conduct Risk and the Single Firm
Mar 2014
S&I Review- Enforcement
Feb 2014
Oct 2013
Regulation, Jim, but not as we know it
Jun 2013
Shoot First
Mar 2013
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
Complinet
May 2011
Powerchex
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
Feb 2009
