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Covid-19: Our response
Here's how we're maintaining commitments to our clients while keeping our colleagues safe and healthy
JUST LAUNCHED: high-performance file reviews, powered by RegTech
We can now check 100% of files in half the review times
Case Study: Outsourced business assurance accelerated by RegTech
Discover how our high-performance business assurance helped a client deal with a fluctuating workload faster and with superior quality!
Skilled person reviews: What is the FCA looking at under conduct of business?
The FCA is making some changes to its focus under conduct of business. Don Scott gives you the insight you need to know.
Case study: Effecting cultural change
We were chosen to assess and help implement cultural change in a firm with two new acquired businesses
Regulating transfers with effective triage
TCC's James Marshall discusses defined benefit transfers with FT Adviser...
Don't be fooled by Brexit uncertainty
It's still business as usual in the regulatory world. Technical Director Don Scott explains how you can avoid being caught out.
Case study: Regulatory due diligence
We created an action plan to bring the target firm up to scratch prior to the acquisition and reduce conduct risk.
Avoiding the unintended consequences of SMCR
Lorraine Mouat discusses how, with forward planning, firms can minimise the impact of the regime.
Case study: Compliance effectiveness review
Find out we helped a firm strengthen their compliance processes and procedures with a Compliance Effectiveness Review
What’s on the FCA research agenda?
In conjunction with its 2019/20 Business Plan, the FCA has published its research agenda, which highlights its current areas of interest across five key areas.
Webinar: Managing the employee lifecycle in the age of accountability
TCC's Lorraine Mouat discusses how the fast-approaching Senior Managers and Certification Regime (SM&CR) will affect firm's HR departments and influence the management of employees.
Case study: Past business review
We were engaged to review advice files to determine the extent of customer detriment using our most robust file review methodology
Regulation in 2019: Our outlook
SM&CR is one of the biggest changes on the horizon for 2019 and could potentially cause a compliance headache for the advisory sector. We share our outlook on this regime and others for the year ahead.
Case study: remuneration & incentives
We engineered a solution that enabled our client to increase their ability to mitigate the risks of mis-selling influenced by incentives
SMCR: What can be learned from the banking sector?
For solo-regulated firms, the forthcoming extension of SMCR represents the next major regulatory change on the horizon.
Case study: First line assurance - overflow
We helped a client retain control of their first line of defence and effectively manage fluctuations in demand
SMCR: A spotlight on individual accountability
By end of this year, senior managers could be held personally accountable for any conduct failings within their areas of oversight under SMCR.
2018 in review: What were the major changes?
"Commercial advice is no longer a dirty word." TCC speaks with Money Marketing on some of the major regulatory changes in 2018...