Demands on CASS firms have never been greater. Research shows that firms continue to fall foul of time-consuming and expensive CASS audits, and even those firms with a mature understanding of the CASS rules aren't immune to protracted discussions with their CASS Auditors. The problem often isn't with knowing the CASS rules - many strategies are well understood - but with execution and application. In…

The MiFIR transaction reporting obligation is more than five years old. Yet despite the maturity of the regime, firms are still struggling to report accurate and complete data to the regulator. In this FREE 60-minute webinar Kaizen Reporting’s regulatory experts Matthew Vincent and Simon Appleton and PIMFA’s Kevin Sloane will unpack the challenges of reporting accurately, the importance of data quality and meeting regulatory expectations, and…

The FCA is encouraging firms to implement measures to promote D&I. But how do you know what action will and will not bring about sustainable positive change? We will reflect on “real life” diversity data monitoring projects, what works, what doesn’t and what is most effective in brining about positive cultural change. This webinar will help you understand how to: Avoid data protection and employment…

The SM&CR ‘Duty of Responsibility’ and the ‘Senior Manager Conduct Rules’ establish clear senior management responsibility for complying with the requirements of the Consumer Duty. This includes a requirement for Senior Managers to personally attest that the Consumer Duty is embedded within their firm. At least annually, a firm’s board, or an equivalent governing body, must also review and approve an assessment of whether the…