Contact sales
Doing the right thing: building a financial services culture to be proud of👌 Culture across the industry has long been an area of focus, with some interesting examples of firms and sectors failing to meet the standards and expectations of the regulators, and regrettably, examples which have damaged consumer protection or confidence. 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. Continuing Consumer Duty insight series Time to wind down? Get Planning and Governance right Following its Thematic Review the FCA identified that many firms’ WDPs and risk management frameworks remained at an early stage of maturity, We take a look at the work that can be done to bridge the gaps and meet the expectations of the regulator. FCA and PRA Authorisation: The Approach, The Support, and The Evidence 📋🔍 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.
Never miss a thing
Subscribe for more content
1 2 3 4 5
The smartest way to manage regulatory compliance
Your request has been submitted successfully
We will get in touch with you immediately via email.
Ok, thanks.