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Client money and client money audits – an auditor’s view
A number of ICS staff recently attended a client money webinar held by the Institute of Chartered Accountants of England and Wales (ICAEW). Here we share the key messages from the webinar and some insights on the issues arising out of client money audits.
FCA writes to Principal firms about overseas Appointed Representatives
The FCA has been undertaking increased engagement with Principal firms as part of its three-year strategy to improve the oversight of ARs. The FCA’s Consultation Paper CP21/34 and Policy Statement PS22/11 set out some of the challenges Principals may face in…
ICO publishes guidance to ensure lawful workplace monitoring
The Information Commissioner’s Office (ICO) is calling on organisations to consider both their legal obligations and their workers’ rights before they implement any monitoring in the workplace. With the rise of remote working and developments in the…
Financial resilience and resilience reporting – why, what, and what next?
Financial resilience is the ability of an organisation to withstand events that affect its capital structure, liquidity, revenue and assets, and is a measure of how robust a financial plan is to shocks. Without it, operational and reputational resilience…
How hard do we try to be Inclusive?
September 2023 has been a busy month for the diversity, equality and inclusion discussion. We have seen the publication of the long awaited FCA consultation paper CP23/20 Diversity and inclusion in the financial sector – working together to drive change
Product Governance
The FCA has commenced a second wave of product oversight and governance thematic review work, to understand whether the product reviews, including fair value assessments and product distribution reviews are being undertaken in line with the FCA’s expectations…
