Blog Archive - Page 8 of 25 - Davies

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Industry Capital Markets
Capability Risk & Compliance Technology & Data

Trading Activity Wind-Down: The clock is ticking

Trading Activity Wind-Down (TWD) is proving to be a complex and evolving challenge for our clients.

Capability Risk & Compliance Technology & Data

Electronic Communications Surveillance: the State of Play

How can financial services firms foster trust and maintain compliance in an increasingly digitized business environment?

Capability Risk & Compliance Specialist Services

Navigating the insurance landscape: The FCA’s call for improved customer support and claims handling

The Financial Conduct Authority (FCA) holds a crucial position in the dynamic insurance industry, ensuring that businesses meet the highest ...

Industry Asset & Wealth Management
Capability Risk & Compliance

Consumer Duty and the Importance of Testing Consumer Understanding

Consumer understanding is one of the four key outcomes required by the Financial Conduct Authority’s (FCA) 12th Principle – Consumer Duty. With ...

Industry Asset & Wealth Management
Capability Operating Strategy & Transformation Risk & Compliance Technology & Data

FINMA Circular 2023: Operational Risks and Resilience

Are you ready for 1 January 2024? 

Industry Asset & Wealth Management
Capability Operating Strategy & Transformation Risk & Compliance

Operational Resilience – the Culture Conundrum

Culture is key to compliance