Category: Regulatory compliance

Culture and Compliance: The Key to Business Success

    Interpreting and adapting key principles to ensure that compliance is embedded into an organisation’s structure is vital to determining a business’ success. Although the key considerations may vary …

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10 Things You Need to Know About The SM&CR Deadline

The deadline for Senior Managers and Certification Regime (SM&CR) compliance is fast approaching. Let us help you prepare! By 31 March 2021 all FCA solo-regulated firms must have undertaken the …

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How to maintain Millennial talent and show the seasoned executives a thing or two about technology

According to Harvard Business Review and using BNY Mellon, the American Investment Bank as an example, companies are struggle to retain Millennials (anyone born between 1981 and 1996) and the …

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Operational Resilience: Is Your Firm Ready?

“By failing to prepare, you are preparing to fail” Benjamin Franklin   Have you ever wondered how your team would respond to a crisis, or if your firm’s disaster recovery …

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Getting a handle on competence

It’s increasingly important these days to be able to measure and record the competence of your staff. Not just because the regulator demands it – but also for the benefit …

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Making your LMS work harder for you

Many, if not most, insurance firms today are linked up to some kind of insurance e-learning platform. The problem is that few are making truly effective use of them. There …

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Are your staff putting in the CPD hours they need under IDD?

One of the requirements of IDD is that all your staff involved in the distribution of insurance products must complete 15 hours of CPD per year and to demonstrate the …

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Working and learning from home

These are strange times to be living and working in. By 2017, according to figures from the Office for National Statistics, more than five million of us were spending some …

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