Regulator steps up pressure on the peer-to-peer sector
This year has seen the collapse of two peer-to-peer lenders in the UK and as tougher regulation sets to come into force on 9 December, regulators will not want to see any further impact on [...]
Coronavirus and Compliance: 8 Areas to Focus on Now
The coronavirus plague is ushering in a host of new compliance vulnerabilities. Workplaces are going virtual, strict quarantine measures are being imposed, and business closures have been mandated. Organizations are responding with a dizzying [...]
Regulators focus on future with new ‘data driven’ strategy
Data is not called the ‘new oil’ for nothing – for business, it’s a hugely valuable commodity, creating insights, allowing analytics and boosting competitiveness. And now, it seems, regulators are also getting in on the [...]
The 5 Biggest Challenges to Effective Compliance Management
Compliance is complicated and expensive to manage – often made more so by the very tools and processes intended to get the job done. Otherwise capable compliance teams struggle with clunky, outgrown technology and inefficient [...]
The NIST Privacy Framework: What is It and Why It Matters
Data privacy is a complex issue in today’s always-connected world. We want our privacy protected, yet willingly share all sorts of personal information in our quest to connect with friends, shop for products, or [...]
What a High-Performing Compliance Process Looks Like
What differentiates a high-performing compliance process from the merely adequate? The unobstructed flow of information across all parts of the organization. Stand-out compliance programs give all authorized stakeholders access to the same high-quality, real-time [...]
CCPA and GDPR: How the Privacy Laws Stack Up
The California Consumer Privacy Act (CCPA) is often compared to Europe’s General Data Protection Regulation – but not every requirement matches up. Here’s how the two laws compare: Want more insight on CCPA compliance? Download [...]
Ready or Not: CCPA is Here!
The new year is here -- and with it comes the strictest data privacy law to hit the U.S. to date: The California Consumer Privacy Act (CCPA). Every organization needs to pay attention – [...]
Final call for Senior Managers ahead of SMCR deadline
Time is running out to prepare for the Senior Managers and Certification Regime (SMCR), which will be rolled out across the financial services sector from 9 December, raising standards and introducing new levels of accountability. [...]
Company culture takes centre stage for FCA
The FCA is continuing to keep a close eye on the insurance market as it seeks to eliminate bad behavior and practices, with organizations operating within the sector, beginning to [...]
The California Consumer Privacy Act (CCPA)
The California Consumer Privacy Act (CCPA): What risk and compliance managers need to know. The California Consumer Privacy Act (CCPA) will go into effect on January 1, 2020 – and it’s expected to be [...]
Senior Managers Regime tops list for keeping CEOs awake at night
The Senior Managers and Certification Regime (SMCR) has been revealed as the biggest concern for CEOs within the investment management and financial adviser sector. What is more, the 2019 CEO Sentiment Research Report, from trade [...]