Regulatory analysis, compliance best practices, and industry thinking from the Fincaro team.
Articles
Regulatory Update
A detailed analysis of emerging enforcement priorities and how compliance teams should prepare for heightened scrutiny across trading, disclosures, and ESG claims.
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Key components, common pitfalls, and regulatory expectations for anti-money laundering frameworks in investment firms and payment institutions.
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How technology is transforming compliance operations and what it means for institutional governance, cost structures, and regulatory relationships.
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An assessment of FCA findings from its first wave of Consumer Duty reviews, and what firms still need to address to demonstrate good outcomes.
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How to build an accountability framework that is defensible under scrutiny — mapping responsibilities, evidencing oversight, and preparing for regulatory interviews.
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With compliance headcount under pressure, firms are rethinking how they resource regulatory obligations. We explore the trade-offs and emerging models.
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A breakdown of the FCA's stated supervisory focus areas for the year ahead, with practical implications for compliance teams across retail and wholesale markets.
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Most compliance policies sit on a shelf. Here's how to write policy documentation that is proportionate, operational, and genuinely embedded in how your firm runs.
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When does it make sense to bring in an embedded consultant versus outsourcing to a managed service? We weigh up cost, control, and regulatory risk.
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