Risk Management - Complyport UK Consultancy Service

13 May 202414 May 2024
Latest News

FCA Dear CEO letter – The need for firms to maintain adequate financial resources

It has now been a few months since the Financial Conduct Authority (“FCA”) began its probe into motor finance practices, specifically the use of discretionary commission arrangements. Whilst that work […] [...]

23 April 202423 April 2024
Latest News

Navigating FCA’s Supervisory Focus: Key Insights for Asset Managers

On the 1st of March 2024, the Financial Conduct Authority (“FCA”) wrote to CEOs in the asset management and alternatives sector with an update to its supervisory approach. We know […] [...]

12 March 202002 November 2022
GRC Issues

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 […] [...]

Tag: Risk Management

FCA Dear CEO letter – The need for firms to maintain adequate financial resources

Navigating FCA’s Supervisory Focus: Key Insights for Asset Managers

COVID-19 (Coronavirus) Pandemic Response In Financial Services

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Fireside Chat: Operational Resilience – Have You Prepared?

Webinar: EI in the Age of AI

Webinar: Navigating the IFPR Impact: Good and Poor Practices Observed

Webinar: Cutting Compliance Costs – The Case for Strategic Outsourcing

Women in Compliance: Navigating Challenges & Embracing Opportunities

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