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Continuing Consumer Duty insight series Risk & Compliance A partnership first approach 👏 Want to build a winning partnership in 2023?
Risk & Compliance Customers and Vulnerability 🤝 The UK regulators, including the FCA and the PRA, are united in their approach and expectations to ensure consumer protection and deliver good customer outcomes as a central component of their business strategy. Risk & Compliance Risk Management: Taking it to the next level and beyond🚀 There are lots of established frameworks and methods for managing risk within our business, but is there a true best practice approach? How do you move the needle and ensure risk management is addressed with a solution that’s not only resilient but also responsive and can work for many organisations – one size doesn’t fit all and it’s very likely that firms will adapt frameworks to meet their own approach.
Risk & Compliance Safeguarding – Organisational Arrangements & Control 💡 Risk & Compliance What good looks like: Governance, Risk Management and Compliance (GRC) 📝 Risk management and controls are critical elements to supporting a firm's overall organisational arrangements. When structured properly, these arrangements evidence and underpin a firm's compliance with the regulatory regime under which they operate. These regulations and exposures are broad in nature and vary considerably across industry sectors, jurisdictions, geographic areas, and business areas. Continuing Consumer Duty insight series Risk & Compliance Master your Maturity Assessment 🔐 Details on how Grath can help you complete your Maturity Assessment successfully Continuing Consumer Duty insight series Risk & Compliance A CASS-mas Carol 🎅 Bah humbug! Is it that time of year already? Before we dive headlong into the season’s festivities and (over)indulgence, we felt it was worth rattling a few chains of reflection and warning, just as Jacob Marley did with Ebeneezer Scrooge. What the Dickens, you may ask. We do this not just for a little festive fun, but in the hope that we may avoid the financial ghosts of the past, continue to change our ways, and look forward to a prosperous future together.
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Consumer Duty Risk of Harm Assessment and Model 📝 Risk & Compliance Consumer Duty Risk of Harm Assessment and Model 📝 We’ve passed the initial October board plan deadline and firms will by now have made the initial assessment for consumer duty compliance, set out high-level plans, and presented these to their governing body to structure their forthcoming activity to be compliant to the obligations at onset. FCA and PRA Authorisation: The Approach, The Support, and The Evidence 📋🔍 Risk & Compliance FCA and PRA Authorisation: The Approach, The Support, and The Evidence 📋🔍 If you’re a firm wanting to provide regulated financial services, you need to apply directly through the applicable UK regulatory bodies and complete the established application process. Grath’s technology can help with authorisation, improve your regulatory compliance and bolster your risk management process.

This also includes applications from regulated firms seeking to change the range of services (Variation of Permissions or ‘VOP’) for which they already have authorisation or appoint individuals into new, key roles. concerns across payment sector firms Risk & Compliance Safeguarding Reconciliations 🚀 Safeguarding Reconciliations - How are firms progressing & meeting their obligations to segregate relevant funds and safeguard appropriately? | Regulatory Insights Series #10 🚀

Following the 'Dear CEO Letter' issued by the FCA in July 2019 - Grath explore & outline some key aspects of safeguarding arrangements and the parameters to continue to help firms respond and comply to their obligations. Risk & Compliance Mandates: don’t get caught out | Regulatory Insights Series #9 🚀 Have you assessed and made sure you’re in a position to evidence and confirm your firm’s compliance with CASS 8? Risk & Compliance Appointed Representatives: FCA signals a stronger governance requirement A closer look at the December AR deadline and supporting policy statement.
Total Capture – Robotics, AI; IT Controls & Data integrity | Regulatory Insights Series #8 🔎👨🏾‍💻 Risk & Compliance Total Capture – Robotics, AI; IT Controls & Data integrity | Regulatory Insights Series #8 🔎👨🏾‍💻 The eighth insight for 2022's 'Regulatory Insights Series'. We explore some of the challenges of demonstrating total capture. Continuing Consumer Duty insight series Risk & Compliance ESG: Putting Sustainability First 🌱 Grath has made sure that sustainability has been at the heart of its innovative SaaS solution from day one. It’s been achieved using state-of-the-art technology and by partnering with providers who also embody this critical initiative. Attestations: Demonstrable Oversight and Evidence Risk & Compliance Attestations: Demonstrable Oversight and Evidence
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