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Tag Result: Compliance

PRA fines Metro Bank £5.4m for regulatory reporting failures

Metro Bank has been fined £5,376,000 by the Prudential Regulatory Authority (PRA) for fai...

  • Dec 22, 2021
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Tenet boosts compliance support with senior operations director hire

Tenet Group has hired Julie Woolmer (pictured) as its compliance operations director to en...

  • Dec 01, 2021
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Iress and Twenty7Tec plan green mortgage search filter launches by year-end

Broker sourcing systems, Iress and Twenty7Tec, have plans to add green mortgage filters la...

  • Oct 05, 2021
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Brokers should refer to specialists for SM&CR compliance – TMA Club

Mortgage firms should seek specialist help with compliance, Lisa Martin, group development...

  • May 19, 2021
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ERC creates risk and compliance team to uphold consumer protections

The Equity Release Council (ERC) is creating a risk, policy and compliance team to help ma...

  • Jan 05, 2021
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‘We’re still waiting for lenders to adopt FCA coronavirus recommendations’ – Marketwatch

Social distancing means conducting business in a way that adheres to rules and regulations...

  • Apr 22, 2020
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Focusing on customer outcomes is good but rules should already do that – poll results

Brokers agree that the Financial Conduct Authority (FCA) should shift its focus to consume...

  • Nov 20, 2019
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Poll: Is the FCA right to consider prioritising customer outcomes over compliance?

The Financial Conduct Authority (FCA) is proposing an overhaul of its regulatory approach,...

  • Oct 22, 2019
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Smartr365 adds automated compliance letters and moves office

Smartr365 has introduced an automated suitability letter system that it believes will sign...

  • Sep 02, 2019
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FCA urged to start recording calls with supervised firms

The regulator should look into recording calls it has with firms that fall under its super...

  • Aug 07, 2019
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