This week in regulation
Making faster payments safer, an FCA review of the market for fixed income shares, and complaints data reveals a 13% rise: This week in regulation...
Managing regulatory risks can be complex and time consuming, we provide compliance effectiveness that ensures long-term sustainability.
Our commercially balanced and forward-looking compliance effectiveness solutions strengthen your compliance function for long-term sustainability.
Managing regulatory risk effectively can be complex and resource intensive. When combined with commercial drivers that are seeking to reduce operational costs, the risk to a sufficiently independent and challenging compliance function becomes pronounced.
FCA enforcement action continues to demonstrate to CF10s and their executive colleagues that they can, and will, be held personally responsible for any failures in systems and controls. The importance of an effective compliance function should therefore not be underestimated.
Acknowledging our clients’ commercial considerations, we not only address compliance function deficiencies but also identify process efficiencies. We embed a proactive forward-looking approach that ensures the compliance function can continually mould to regulatory change and your evolving business model and strategy.
TCC provides tailored compliance effectiveness solutions that strengthen your compliance function to ensure it provides effective support and challenge to the first line.
Find out how we helped a firm strengthen their compliance processes and procedures with a Compliance Effectiveness Review
Read Case StudyWe can help develop a proactive, robust and effective compliance function that is in tune with your commercial drivers