Bribery and corruption can have a devastating impact on a business, a country's economy, and society. Download this card to remind employees of some of the key areas of bribery and what to look out for.
Financial services firms are typically subject to specific regulatory obligations in relation to how they handle client complaints. Download this card to remind employees of the key reasons why complaints are important.
Conflicts of Interest
All financial services firms face inherent conflicts of interest in their business activities, and it is crucial that firms identify and manage such conflicts of interest between the firm or its employees and the firm’s customers. Here are three reminders to share with your staff.
Customer Due Diligence (CDD)
In April 2022, the FCA released its review of the financial crime controls at six challenger banks highlighting weaknesses which increased the financial crime risks both when onboarding customers and throughout the customer journey. Here are three key tips for employees to help prevent and detect financial crime with customer due diligence.
With increasing cyber security incidents, it is vital for everyone within an organisation to understand the risks and take steps to mitigate them. Download this card to see some timely reminders for staff on their role in protecting the firm against cyber-attacks.
In January 2023, Meta was fined €390 million by the Irish privacy regulator for breaking EU data protection rules. It's imperative the employees understand the risks and comply with the law. Download these three reminders to share with your staff.
Cifas, the UK's leading fraud prevention services, has warned that the cost of living crisis is providing criminals with new opportunities to steal personal and financial information. Download this card to remind employees of how they can help to reduce fraud at work.
As the demand for financial services products and services with green or ESG (Environmental, Social and Governance) credentials increases, so too does the risk of greenwashing. Download this card to remind employees of some of the existing and planned regulatory initiatives in the area.
The financial sector has an important role to play in preventing and detecting modern slavery - not only through a firm’s direct operations (e.g. staffing, procurement and supply chains) but also through its approach to investment, lending and client relationships. Download this card to remind employees how to prevent and detect modern slavery in their day to day.
With the increase in remote and hybrid working arrangements, it’s important for all staff to understand their responsibilities when working remotely. Download this card to remind employees how to reduce risk while working in a remote or hybrid environment.
Getting financial sanctions wrong can be expensive in terms of the penalties that might be applied and can be damaging to a firm's reputation. Download this card to remind employees of some of the key things to keep in mind in terms of financial sanctions.
Whistleblowing procedures are regarded as a crucial part of effective corporate governance and a key back-stop for a positive compliance culture in firms. Download this card to remind employees of some of the reasons why whistleblowing is key.