Helping you shape your regulatory presence
The FCA requires all firms to have effective and adequate systems and controls. Effectiveness is more than just a feeling. It is the essence of an evaluation, a judgement call on how well your framework is working.
Here are a series of articles on what you need to do to make compliance work for you
4 steps to better compliance
Know thy rules
Show great judgement
Be Diligent
Use a second pair of eyes
TCF
Treating customers fairly is one of the key strongholds of regulatory protection for consumers created by the Financial Conduct Authority - FCA
Compliance reviews vs strategy.
Compliance reviews seem risk focused and purely operational until you understand how risks fit into the gap between strategy and implementation.