Blog

The Financial Crime Guide is a key source of information and advice for regulated financial services firms under the Financial Conduct Authority’s supervision. The regulator has recently launched a consultation around a series of proposed changes to the guide. In this blog, we summarise some of the main takeaways from the consultation for UK companies.
An Appointed Representative (AR) is a person or company, permitted to carry on specific types of regulated financial activities under the licence of a Financial Conduct Authority (FCA) authorised firm, known as their ‘principal’. In this blog, we identify the main things ARs should consider before submitting their application.
In this blog, we identify the key steps investment firms should take to perform well in an audit, and to improve their overall confidence in safeguarding client money and assets.
fscom (www.fscom.co), the leading governance risk and compliance consultancy, has acquired FMConsult, the risk and compliance solutions provider to asset managers across the UK and Ireland. This acquisition accelerates fscom’s expansion into asset and fund management consolidating its position as a leading authority within the sector.
At our Q1 2024 Capital Markets Regulatory Outlook event, we heard from fscom’s CEO, Jamie Cooke, on the outlook for the industry and the challenges facing firms over the next 12 months. Key focus areas discussed on the evening included innovation and digital assets, sustainable finance, prudential regulation, wind–down planning and CASS, operational resilience, consumer duty and financial crime.
In this blog we bring together insights from an event where eight experts from fscom, Fintech, banking and the regulator spoke on the key regulatory trends shaping the industry last month. The fscom conference in London was attended by over 250 representatives from the payments and e-money sector.
At our Q1 2024 Banking Regulatory Outlook event, we heard from fscom experts, Rick Seehra, Alison Donnelly and David Norton along with guest speaker, Aris Asimakis, CRO of CashPlus. Key focus areas discussed during the lunch included: Building effective relationships between financial institutions and the regulators; Operational resilience; Consumer Duty.
Read this blog where, fscom announces the appointment of Rick Seehra as Head of Banking. With 13 years’ experience in the financial services sector, Rick brings extensive expertise in prudential risk and compliance knowledge.
Senior Compliance Associate, Chris Vaughan created a handbook that aims to be the go-to guide for financial crime compliance professionals of any level of seniority who are starting out in the world of cryptoassets.