Insight

Latest industry news, opinion articles, learning, whitepapers and case studies on financial compliance and risk best practice, regtech and fintech technology and regulatory obligations.
FCA’s 2020/2021 Annual Report Round-up | Fingerprint FCA’s 2020/2021 Annual Report Round-up | Fingerprint Protecting your financial firm’s culture and reputation in 2021. Protecting your financial firm’s culture and reputation in 2021. RFA + Fingerprint: Partnership Launch – June 2021 RFA + Fingerprint: Partnership Launch – June 2021 Fingerprint Supervision – Platform Updates – May/ June 2021 Fingerprint Supervision – Platform Updates – May/ June 2021 How hedge funds are embracing the new technology driven reality. How hedge funds are embracing the new technology driven reality. Tone from within | Why personal responsibility in compliance is so important. Tone from within | Why personal responsibility in compliance is so important. Our biggest takeaways from the City of London RegTech Report 2021. Our biggest takeaways from the City of London RegTech Report 2021. The importance of continued learning and up-skilling in 2021. The importance of continued learning and up-skilling in 2021. Future-proofing your firm | Is it possible to keep up with the pace of technological change? Future-proofing your firm | Is it possible to keep up with the pace of technological change? The importance of driving cultural change in Financial Services in 2021. The importance of driving cultural change in Financial Services in 2021. Diving into the FCA’s business plans for 2021. Diving into the FCA’s business plans for 2021. The hidden costs to firms and individuals for non-compliance. The hidden costs to firms and individuals for non-compliance. The challenges (and opportunities) facing firms operating under a principles based regulator… The challenges (and opportunities) facing firms operating under a principles based regulator… Random Sampling does not work to efficiently detect Market Abuse in 2021. Random Sampling does not work to efficiently detect Market Abuse in 2021. The key to stopping market abuse before it happens. The key to stopping market abuse before it happens. FCA sets out expectations: Monitoring & Supervision of Voice and Electronic Communications in the Office and Home Working. FCA sets out expectations: Monitoring & Supervision of Voice and Electronic Communications in the Office and Home Working. Drive change, shift perceptions – compliance functions as an asset in financial firms Drive change, shift perceptions – compliance functions as an asset in financial firms Would the FCA praise or punish your Firm for its COVID remote working practices? Would the FCA praise or punish your Firm for its COVID remote working practices? Banker acquitted for destruction of evidence after deleting WhatsApp messages. Banker acquitted for destruction of evidence after deleting WhatsApp messages. FCA demands that Firms “Avoid Inadvertent Tipping Off” FCA demands that Firms “Avoid Inadvertent Tipping Off” FINRA’s guide to Remote Work and Communications Supervision. FINRA’s guide to Remote Work and Communications Supervision. Electronic Communications Supervision, and the new FCA Money Laundering Handbook Electronic Communications Supervision, and the new FCA Money Laundering Handbook