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If this is your first visit to our site, please take a few moments to read this important notice

- What are you doing to manage the transition from TCF to Conduct Risk?  
  The FSAs’ treating customers fairly initiative is being superseded by the FCAs’ regulation of Conduct Risk. TCF and conduct risk are similar, but not the same. The TCF mindset will need to change. But with all change comes opportunity. The majority of firm’s prepare their employees to respond to the question, “… and what can you tell me about TCF and your part in it?”, but how might they respond to, “… and what can you tell me about conduct risk and how you mitigate it?” or how might your board respond to, “What steps are you taking to manage conduct risk failure?”.

For some top tips on how to manage the transition click on the link above.


- Mock-ARROW inspections  
  Are you ready for ARROW? ACL’s Mock-ARROW inspections are designed to help you prepare for your next ARROW inspection. They are geared towards identifying the risks that your firm is likely to pose to the FSA achieving their statutory objectives and preparing the board and senior management for the line of questioning they will face during an FSA risk assessment visit.

To find out more, click on the link above.


- Why conduct an independent audit of your Compliance department?  
  Casting a fresh pair of eyes over the procedures, systems and controls in place within your compliance department can pay dividends. To find out what this typically involves, click on the link above.  







  Tuesday, 20 March 2018 | Important notice