• 16 Aug

    The new dawn for compliance in the front office

    The compliance breaches at Barclays, HSBC and Standard Chartered have aptly demonstrated the need for a new approach to compliance in the front office. In recent years, there has been too much reliance on a simple ‘box-ticking’ method of delivering compliance training as a way of safeguarding the assets under management and ultimately the corporate reputation of money managers.

    By Neil Herbert Blog
  • 19 Apr

    Retail Distribution Review (RDR)

    Going beyond a tick-box culture

    2013 has already been a busy year for Wealth Management regulation. RDR arrived at the beginning of the year and the new FCA officially came into being on 1 April. Together they represent a radical shake up of the requirements placed on firms to manage, assess and record their advisors’ competence, conduct and performance to required professional standards.

    By Neil Herbert News
  • 10 Apr

    T&C News Article

    Why just completing required CPD hours won’t be enough for the FCA – T&C and Conduct issues – should drive CPD not the other way round.

    By Neil Herbert News
  • 09 Apr

    Conduct, Training & Competence – policies in practice?

    The FSA/FCA have clearly signalled their intention to place Conduct – ethics/integrity/TCF – and Training and Competence –T&C – at the heart of on-going regulation and enforcement.

    By Neil Herbert News
  • 13 Mar
    ‘City under siege’ is a golden opportunity for HR: seize it!

    ‘City under siege’ is a golden opportunity for HR: seize it!

    The continued battering of the City’s bonus and reward culture from all sides — governments, the media, the general public, Billy Bragg, the Daily Mail, well, everyone really — has led to intense scrutiny and discussion of remuneration practices at nearly all banks.

    By Neil Herbert Articles Blog
  • 09 Sep

    Bridging the gap between HR and compliance

    The FSA has developed very big teeth indeed. A quick look at recent enforcement will tell you that and also reveal that issues around conduct, treating customers fairly (TCF) and training and competence are behind a great deal of it.

    By Neil Herbert Articles Blog News
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