Shaun JeavonsMay 10Axiom Update 3.41.2We are pleased to announce that Axiom version 3.41.2 is now live! This update contains the following changes: General Improvements...
Priscilla GaudoinMay 10How effective governance aids complaints handling All regulated firms must have a process for handling complaints. Its purpose is to ensure that customer complaints are dealt with...
Shaun JeavonsMay 9Axiom Update 3.41.1We are pleased to announce that Axiom version 3.41.1 is now live! This update contains the following changes: General Improvements...
Shaun JeavonsMay 6Axiom Update 3.41.0We are pleased to announce that Axiom version 3.41.0 is now live! This update contains the following changes: General Improvements...
Priscilla GaudoinApr 21Operational Resilience: Don't forget Cyber Resilience!The FCA published a cyber resilience questionnaire cross sector report in 2018 and its findings are still relevant today. The cross...
Priscilla GaudoinApr 19Assertive FCA issues Business Plan & StrategyIt’s that time again! This year the FCA has issued a Strategy Document for the next three years to accompany its Business plan for...
Priscilla GaudoinMar 28Cryptoassets: Why be concerned?In recent years, the term cryptoassets has slowly crept into our vocabulary. It’s a hot topic for debate and in the past few weeks,...
Priscilla GaudoinMar 22Sustainable Investing In October 2021, the UK government published its roadmap for sustainable investing. In the previous month, it had raised £10 billion for...
Shaun JeavonsMar 21Axiom Update 3.40.3We are pleased to announce that Axiom version 3.40.3 is now live! This update contains the following changes: General Improvements...
Priscilla GaudoinMar 14Assess & Prove Competence The Senior Managers & Certification Regime was first introduced in 2016 for banks and then phased in until it was finally extended to...
Shaun JeavonsMar 9Axiom Update 3.40.2We are pleased to announce that Axiom version 3.40.2 is now live! This update contains the following changes: General Improvements...
Priscilla GaudoinMar 1Manage Risk & Stay Out of the HeadlinesManaging regulatory risk should be a priority for regulated firms, but how well does a board understand its obligations? How does a board...
Shaun JeavonsFeb 28Axiom Update 3.40.1We are pleased to announce that Axiom version 3.40.1 is now live! This update contains the following changes: General Improvements...
Shaun JeavonsFeb 22Axiom Update 3.40We are pleased to announce that Axiom version 3.40 is now live! This update contains the following changes: Oversight We've enhanced the...
Priscilla GaudoinFeb 22MiFID II Quick Fixes The FCA’s policy (PS21/20) outlined its changes to COBS research rules as well as the removal of the best execution reporting in RTS 27...
Priscilla GaudoinFeb 15Transparency & Transfer AgentsPrior to AIFMD and UCITS V, transfer agents were unknown, however the need for greater transparency and trust has raised their profile....
Shaun JeavonsFeb 15Axiom Update 3.39.1We are pleased to announce that Axiom version 3.39.1 is now live! This update contains the following changes: Oversight Modified the...
Matthew BruceFeb 11Axiom Update 3.39We are pleased to announce that Axiom version 3.39 is now live! This update contains the following changes: Oversight We've improved the...
Priscilla GaudoinFeb 9Governance & Workplace PensionsGoverning bodies have a duty to fulfil in providing oversight. What does that mean for workplace pensions? For workplace pensions, the...
Priscilla GaudoinFeb 8Operational Resilience: Countdown begins, are you ready? The FCA hosted a live event providing feedback to the industry regards preparation for the March 2022 deadline. During the session,...