Discover our recent projects
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SMCR assurance
SMCR assurance
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Compliance operations assessment
Compliance operations assessment
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Market abuse risk assessment
Market abuse risk assessment
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Conduct risk management
Conduct risk management
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Fair pricing
Fair pricing
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Ethics report
Ethics report
SMCR assurance
Compliance operations assessment
Market abuse risk assessment
Conduct risk management
Fair pricing
Ethics report
Featured Content
Top tips for implementing the FCA’s new temporary relief measures
15 April 2020
The FCA has, at short notice, put in place guidance on reliefs that lenders should provide to mortgage, personal loan and credit card customers as well as those with overdraft facilities.
What 2019’s STOR data tells us about the FCA’s market abuse priorities
30 March 2020
FCA data on suspicious transaction and order reports provide an insight into the latest thinking within the Market Oversight Division.
The Culture Series: Measuring and Monitoring Culture Change
10 March 2020
Purpose, culture and values have become a key focus for business strategy over the last few years. However, these issues can be seen as “soft” or as difficult to define and can be extremely difficult to meaningfully separate, identify and measure. How can companies effectively measure and manage progress in achieving their chosen corporate culture?
Listen Up! A global perspective
17 December 2019
Earlier this year, we published the results of our research into the whistleblowing arrangements in place at publicly listed companies in the UK, across Europe and in Asia-Pacific. Following that research, we spoke to our colleagues around the world to get their views on whistleblowing trends in their jurisdictions.
Operational resilience: a new approach to managing cyber, tech and sourcing risk
9 December 2019
The financial services sector has often led the way in shaping thinking about how to manage risk. Its latest focus, thanks to the Financial Conduct Authority, Prudential Regulation Authority and Bank of England, is something called “operational resilience”.
Ethics in Banking and Finance
28 February 2019
Exploring the law and regulation which underpins ethical behaviours of firms and individuals operating in the financial services sector.
Global Interest Rate Reform
7 June 2019
Reform of LIBOR and other global benchmark rates used in loans and other financial instruments. The transition away from the London Interbank Offered Rate (LIBOR) and other IBORs is unlike any previous regulatory reform.
Crisis Ready
6 March 2019
Our cross-border, multidisciplinary crisis management team helps you: Prepare (plan for the unexpected), Respond (mobilise and take control) and Recover (re-orientate to a new normal).
Senior Managers and Certification Regime
21 February 2018
The Senior Managers and Certification Regime (SMCR) is part of the UK regulators’ drive to improve culture, governance and accountability within financial service firms. It aims to deter misconduct by improving individual accountability and awareness of conduct issues across firms.
MiFID II
1 January 2016
The revised Markets in Financial Instruments Directive and new Markets in Financial Instruments Regulation – collectively known as MiFID II – represented a comprehensive and profound reshaping of how EU financial markets, products and services and the relationship between financial services firms and their customers are regulated. The rules have applied since 3 January 2018.
