Want a quick way to make compliance more efficient? Focus on the WHY, not the WHAT of risk & compliance. The focus of most risk & compliance training tends to be WHAT the business needs to do, the infamous risk ...
I am always surprised when I have to remind compliance professionals that “compliance happens in the first line” . It’s obvious when you verbalise it but I find that even people who are aware of it don’t really realise it. One way to ...
Run a regulated business within financial services, consider familiarising yourself with the Approval R.A.T. Maze. Flavours of regulatory registrations and approvals on the FCA website quickly run into double digits and there is a sea of acronyms that will have ...
Is model validation about “independent challenge” or ensuring the business continues to meet the model approval “conditions”. I believe it to be the later.
