121 articles

    Regulatory Specialist

    Browse all articles across people aspects of regulation and people development within UK financial services

    Preparing for the new Regime
    Regulatory Specialist

    Preparing for the new Regime

    Whether you are an Executive of a large retail bank, a Compliance Manager in an international bank or working in T&C for a Building Society, you will not have failed to notice that the deadlines for implementing the new “Strengthening Accountability in Banking” regime are getting closer.

    Julie Pardy · 30 Sept 20155 min read
    The new Senior Managers Regime in Banking
    Regulatory Specialist

    The new Senior Managers Regime in Banking

    Back in July 2014, the FCA/PRA published a consultation paper to the industry (CP14/13 & CP 14/14) on the eagerly awaited “New Regulatory Framework for Individuals”.

    Julia Kirkland · 4 Aug 20153 min read
    Consumer Credit regulation – a lot more to do?
    Regulatory Specialist

    Consumer Credit regulation – a lot more to do?

    As these two leading financial services training authorities announce their new compliance-focused partnership, FSTP’s Philippa Grocott and Unicorn Training’s Mark Jones reflect on the first year of FCA consumer credit regulation and what’s next.

    Mark Jones · 29 Jun 20155 min read
    The issue of Regulatory Conduct Reaches Wholesale and Institutional sector – finally!
    Regulatory Specialist

    The issue of Regulatory Conduct Reaches Wholesale and Institutional sector – finally!

    In this article I am focusing on the wholesale sector – both buy-side and sell-side institutions and some of the key challenges that FCA regulation presents. Up Close and personal It’s been a while coming but no one could say they weren’t warned.

    Neil Herbert · 7 May 20159 min read
    What key Policy Decisions do I want before drafting a T&C Scheme?
    Regulatory Specialist

    What key Policy Decisions do I want before drafting a T&C Scheme?

    Nick Smith of EAM Consulting discusses some of the key policy decisions that underpin the design of an appropriate T&C scheme for your firm.

    Nick Smith · 21 Apr 20159 min read
    Be wise to the pensions challenge
    Regulatory Specialist

    Be wise to the pensions challenge

    With measures to dramatically increase the flexibility of pensions now a reality, Tom Cox, CII product marketing manager introduces the CII’s new Pensions Update Programme, designed to keep advisers informed and up to speed.

    Tom Cox · 10 Apr 20156 min read
    The new Senior Manager’s Regime – and its effect on us all……
    Regulatory Specialist

    The new Senior Manager’s Regime – and its effect on us all……

    The new Senior Manager’s Regime will have a significant impact across the whole of the Financial Services industry, in one way or another.

    Carl Redfern · 9 Mar 20158 min read
    FCA T&C -Time waits for no T&C Scheme
    Regulatory Specialist

    FCA T&C -Time waits for no T&C Scheme

    Some people kick the New Year off with resolutions, which is fine if you can sustain them. Personally I prefer not to make resolutions but to take actions, and this starts with asking myself just one question: “What am I going to do differently this year?

    Andy Snook · 4 Mar 20155 min read
    Strengthening Individual Accountability – the senior managers regime
    Regulatory Specialist

    Strengthening Individual Accountability – the senior managers regime

    Andy Bennett, Head of Regulatory Training at Fitch Learning, assesses the implications of the FCA/PRA consultation paper on individual accountability in the banking industry.

    Andrew Bennett · 5 Feb 20159 min read
    Continuing to evolve
    Regulatory Specialist

    Continuing to evolve

    With CPD becoming far more of an everyday feature of life in financial services, advisers and firms are busy considering how best to dovetail training and competence requirements. The CISI take a closer look at this subject.

    CISI · 19 Jan 20157 min read
    Supporting support roles
    Regulatory Specialist

    Supporting support roles

    Chartered Insurance Institute product marketing manager Tom Cox looks at the changing face of the Institute’s financial services qualification framework and introduces the new Certificate in Financial Services In the build up to the retail distribution review (RDR), financial advice became the obvious focus for Chartered Insurance Institute (CII) qualification developments.

    Tom Cox · 14 Jan 20156 min read
    A New Year and new strategies for 2015 – but is your T&C framework correctly aligned?
    Regulatory Specialist

    A New Year and new strategies for 2015 – but is your T&C framework correctly aligned?

    While the New Year typically brings with it well-intentioned resolutions to stop this or start that, it’s rare for people to stick to their resolutions – indeed according to research in Psychology Today only one in ten people stay the course.

    Callum Grant · 7 Jan 20154 min read