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31 05, 2019

How to avoid outsourcing pitfalls in regulated marketing

May 31st, 2019|Marketing|0 Comments

This week, a bank was fined £1.89m for failings in its outsourcing processes. The fines, levied by the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA), saw R. Raphael & Sons plc penalised for failing to manage its outsourcing arrangements properly. The regulators’ action brings to light the potential hazards when regulated firms [...]

31 05, 2019

What will the FCA review of the financial advice market achieve?

May 31st, 2019|Compliance|0 Comments

Earlier this month, the Financial Conduct Authority announced that it was planning to review the financial advice market. The review will look at how the market has changed since the Retail Distribution Review (RDR) and the Financial Advice Market Review (FAMR) were introduced, and consider whether the initiatives have been successful in achieving their [...]

30 05, 2019

Are You Ready for the 6MLD?

May 30th, 2019|Compliance|0 Comments

Are You Ready for the 6MLD? Money-laundering continues to drive ahead with more and more fines and promises from politicians, bureaucrats and statesmen. Standard Chartered were recently fined $1.1 bn for money laundering and sanction breaches. Almost immediately afterwards, Unicredit were fined $1.3 bn. Latvia's Prime Minister also vowed to overhaul their banking sector [...]

25 05, 2019

Guest post: Would you know how to deal with an FCA visit?

May 25th, 2019|Simplifie|0 Comments

Last week, New Model Adviser reported that the Financial Conduct Authority had visited five SIPP firms. The firms in question were identified as being at a higher risk of not being able to respond to potential compensation claims. This seems like a good opportunity to have another look at our advice on preparing for [...]

25 05, 2019

How can financial services firms make the most of their brand?

May 25th, 2019|Marketing|0 Comments

Your brand is central to your success. As a Marketer, you know that – and you only need to look at the success of the world’s best brands to understand how crucial a consistent brand experience is. How does this translate to financial services brands? And how can you make the most of the [...]