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Connecting SM&CR to culture
Lorraine Mouat connects the dots between culture and SM&CR. Here are her top tips on where you should focus your budget when carrying out a culture assessment.
Fighting financial crime with technology: This week in regulation
Tech fights financial crime, FCA regulatory change and more...
New rules for non-UCITS retail schemes: This week in regulation
New rules to manage liquidity risk, changes to mortgage reporting requirements, updates to the FCA's TTP and more
Case study: RegTech enabled Past Business Review
Our RegTech enhancements reduced delivery times and saved costs for this client's ETV review
SM&CR misconceptions: It’s all just a tick-box exercise
In this instalment Lorraine Mouat takes a look at another mistake firms can make when thinking about SM&CR.
Reminding CEOs of their SCA obligations: This week in regulation
The FCA published a Dear CEO letter on Strong Customer Authentication and the Upper Tribunal reaches a decision on a former investment bank COO
Firms need to adapt to address the advice gap
How can advisers adapt to intergenerational differences in the market? TCC's James Marshall discusses...