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Continuing Consumer Duty insight series 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. Regulatory Change ESG – 2023 objectives and next steps 🌳👨💡 During 2022, the industry witnessed major focus and legislative reforms that set the framework, foundations, and future direction for the environmental, social, and governance (ESG) landscape. This trend is set to continue with gusto through 2023 and beyond.
Risk & Compliance Master your Maturity Assessment 🔐 Details on how Grath can help you complete your Maturity Assessment successfully Regulatory Change PS22/11 – Improvements to the Appointed Representatives Regime 📄 The FCA recently issued their policy statement PS22/11 setting out the enhanced Appointed Representatives (AR) regime and rules for firms to comply with. These came into effect on 8 December 2022 following a four-month implementation period with a further period of transitional arrangements to allow firms more time to comply with some of the new rules, particularly those requiring them to submit information on an on-going basis and to review their ARs and self-assess annually. 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. Doing the right thing: building a financial services culture to be proud of👌 Leadership 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.
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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. Continuing Consumer Duty insight series Regulatory Change 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 📋🔍 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. 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?
Appointed Representatives: FCA signals a stronger governance requirement 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.
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