GRC Issues - Complyport UK Consultancy Service

COVID-19 (Coronavirus) Pandemic Response In Financial Services

The World Health Organisation (“WHO”) has now officially classified the COVID-19 outbreak as a Pandemic. This means that there is evidence of uncontrolled spread from human to human in multiple […] [...]

Are you ready for the reporting obligations under SFTR?

In 2016, as a response to the many risks posed by shadow banking, the EU introduced the Securities Financing Transaction Regulation (“SFTR”), a set of new requirements aimed at improving […] [...]

FCA Unhappy With The Current Standard Of Pension Transfer Advice

Pension Transfers in the Headlines Again… What is the issue? The FCA has issued the results of its recent work on the standards of pension transfer advice and has concluded […] [...]

Complyport Brexit Update

On 25 November 2018, the EU Council of Ministers met in Brussels and agreed to the draft UK Withdrawal Agreement. The draft Withdrawal Agreement must now be ratified by the […] [...]

FCA’s approach to Brexit – Speech 19 July 2018

The Financial Conduct Authority (“FCA”) has been steadily building up their International Division to ensure they can drive forward the policy and deliver the work that is required, after Brexit, […] [...]

Brexit and Fund Managers

Alternative Investment Fund Managers (AIFMs) and MiFID firms need to consider the impact that Brexit will have on their business in the light of recent opinion issued by ESMA to […] [...]

Redundancy, dear Watson

Mentioning Artificial Intelligence (AI) prompts complex reactions in humans. These reactions are often tinged with fear about redundancy, and the reporting of AI is often in a controversial setting. This […] [...]

Brexit and Article 50

By now we will all be aware of the decision of the High Court in Gina Miller & Deir Tozetti Dos Santos v The Secretary of State to the effect that […] [...]

Ransomware and Extortion

Over the past few months there have been a number of 2016 surveys looking at various aspects of information security, all drawing comparisons on the previous annual surveys, all highlighting […] [...]

Ten warning signs your GRC needs improving

If you feel like your business is constantly fixing problems and you’re worried about your legal or regulatory obligations, then perhaps your Governance, Risk management and Compliance (GRC) is weak […] [...]

Whistleblowing in 2016 – A Practical Guide For Compliance Managers

Complyport, ComplySci and Intersol Global are thrilled to have partnered for this Whistleblowing webinar on 12 July 2016 Contributed commentary; ComplySci Whistleblowing in 2016 This subject is clearly top of mind for […] [...]

Shadow IT and File Sharing

For a long time now, email has been the way firms share documents. It is an easy to use and ubiquitous technology. Sending a document as an email attachment with […] [...]

Finance and Insurance: a 43% Automation Potential

In a recent McKinsey Quarterly article, Where machines could replace humans—and where they can’t (yet) (download here), the financial sector is shown to display surprisingly high potential for automation. The […] [...]

Financial Advice Market Review (FAMR)

In March 2016 the Treasury and the FCA reported following a major review into financial advice to establish how the market can function better for consumers. Having thrown out the […] [...]

Brexit and its Implications

Brexit and its Implications The votes have been counted and ‘Brexit’ has won the day. The UK electorate has voted 52% to 48% to leave the European Union (EU). The […] [...]

The votes have been counted and ‘Brexit’ has won the day.

The votes have been counted and ‘Brexit’ has won the day. Whilst the Government considers what exactly that means for the UK as a whole, and what needs to be […] [...]

Brexit – What happens if it happens?

The run up to the Brexit vote seems to be heavy on aspirations but light on detail – what might be the implications for the financial services sector. In terms […] [...]

Suitability in Wealth Management: Further FCA Visits

Of relevance to: Firms providing discretionary and/or advisory portfolio management services Suitability in Wealth Management: Further FCA Visits An article in Regulatory Roundup 71 (pdf) drew attention to a thematic review […] [...]

Category: GRC Issues

COVID-19 (Coronavirus) Pandemic Response In Financial Services

Are you ready for the reporting obligations under SFTR?

FCA Unhappy With The Current Standard Of Pension Transfer Advice

Complyport Brexit Update

FCA’s approach to Brexit – Speech 19 July 2018

Brexit and Fund Managers

Redundancy, dear Watson

Brexit and Article 50

Ransomware and Extortion

Ten warning signs your GRC needs improving

Whistleblowing in 2016 – A Practical Guide For Compliance Managers

Shadow IT and File Sharing

Finance and Insurance: a 43% Automation Potential

Financial Advice Market Review (FAMR)

Brexit and its Implications

The votes have been counted and ‘Brexit’ has won the day.

Brexit – What happens if it happens?

Suitability in Wealth Management: Further FCA Visits

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