Spaced Learning for Employees

Anti-money laundering, terrorist financing and proliferation financing remain a key priority for regulators across the globe. Download and share this learning card across your firm to remind employees of common themes that arise across enforcement cases, and what can be...

Give your staff insight into the potential risks associated with proliferation financing. Download this focused card to share across your firm. Proliferation financing is the provision of funds or financial services to support the illegal proliferation of weapons of mass...

Financial services regulators place significant focus on the culture of the firms they supervise. They want to see a healthy compliance culture, where business is done in the right way, bringing about positive outcomes for customers. A strong compliance culture...

In January 2023, Meta (the owner of Facebook and Instagram) was fined €390 million by the Irish privacy regulator for breaking EU data protection rules. Whilst Meta plans to appeal the fine, it is an important example of how costly...

In March 2022, the FCA fined GAM International Management £9m for failing to manage conflicts of interest in relation to its dealings with Greensill Capital. The FCA also fined one of its former investment managers £230k for failing to declare...

Financial services firms are typically subject to specific regulatory obligations in relation to how they handle client complaints. Here are four key reminders to share with staff across your firm as to why complaints are important.

Cifas, the UK’s leading fraud prevention service, has warned that the cost of living crisis is providing criminals with new opportunities to steal personal and financial information. Here are three things to remind your employees.

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....

In April 2022, the FCA released its review of the financial crime controls at six challenger banks. Whilst the review found evidence of good practice, in particular through the innovative use of technology, it also highlighted weaknesses which increased the...

With an increasing number of cyber security incidents reported by the FCA, businesses need to ensure that the fundamentals of cyber security are in place. Here are some timely reminders for staff on their role in protecting the firm against...

Whistleblowing procedures are a crucial part of effective corporate governance and a key back-stop for a positive compliance culture in firms. People who blow the whistle in accordance with the law and regulation play an important role in exposing poor...

Financial and trade sanctions are being issued at an unprecedented rate, so it is vital that all staff are aware of sanctions risk and understand how sanctions affect their business activities. The UK sanctions regime must be considered, as well...