SMCR Conduct Rules | Conduct Rules Training

Under the FSMA, the FCA were given powers to write Conduct Rules that would apply to most of the employees within a firm. Applied to the banking sector in 2016, the FCA have now extended the Senior Managers Regime to apply to all solo-regulated firms from 9th December 2019. The enforceable Conduct Rules set out […]

Anti Money Laundering Policy Template

We have designed 3 main anti-money laundering template packs for firms with differing needs and scopes. Starting with our standard Anti-Money Laundering Policy, which includes extensive content for HMRC, FCA and other supervisory body compliance. The pack also includes a detailed AML risk assessment template. Our complete AML toolkit is our bestselling AML package and […]

How to Carry Out a Legitimate Interests Assessment (LIA)

What is Legitimate Interests? This article looks at how to carry out a Legitimate Interests Assessment (LIA) and gives guidance on the suggested stages. Legitimate Interests is one of the legal basis for processing personal data under the GDPR. Article 6(1)f of the Regulation states: – “Processing is necessary for the purposes of the legitimate […]