Matt Hodges-Long 
Robust, automated monitoring of Appointed Representatives The Financial Conduct Authority has strict guidelines for firms working with Appointed Representatives to conduct regulated business on their behalf. The principal firm takes regulatory responsibility and must ensure that each AR meets all FCA requirements. Effective oversight of Appointed Representatives is a complex and time-consuming task. Failure to … Read more
“Dad, there’s been a big slide accident at the Woking fireworks, the air ambulance is coming and they are evacuating” This had caught my youngest son’s attention on Snapchat. He goes to school in Woking and a large group of his friends were at the annual Woking fireworks event. What he didn’t know was that … Read more
Deep in the heart of your company’s network folders are likely to be a range of critical documents. These documents could save your business in the event of prosecution, regulatory enforcement, employment tribunal or a complex insurance claim. They are your risk & compliance documents. Regulatory enforcement Risk & compliance documents are the evidence that … Read more
Secure sharing and personalised permissions for all your governance risk and compliance documents All boards have corporate governance standards to meet. They must also be able to demonstrate their compliance and provide evidence to shareholders, customers, employees and other stakeholders. Their organisation has to show it has full control of its governance risk and compliance … Read more
Regulatory compliance When you run a business, of any sort, there are many laws to comply with and risks to manage. Knowing every regulation and risk can be a bewildering task due to a lack of regulatory guidance and advice. It shouldn’t be this hard! You don’t know what you don’t know Here’s the question … Read more
Supply chain risk It’s been almost a month since news broke that the UK’s second largest construction company, Carillion, had gone into liquidation. And while it may no longer be front page news for many, Britain’s biggest corporate failure in a decade continues to cause sleepless nights for those suppliers left facing financial ruin. Supply … Read more
“Hi, I thought you should know we opened that attachment you emailed yesterday, and it’s not quite what we were expecting.” That sick to the stomach, gut wrenching, “what have I done?” moment as you go back through your sent items and realise you attached the wrong document. The panicked call to your boss to … Read more
Risk management For a long time, sales, finance, marketing and operations have been highly respected disciplines in organisations worldwide. But risk management lacks the same respect in many boardrooms and much of the problem is in the way it is presented. Alarming disconnect According to Amanda Mellor, Group Secretary and Head of Corporate Governance at … Read more
Since the financial crisis of 2008, there has been increased focus on risk management and risk reporting. The requirement for companies to report on long-term risk through the annual viability statement has gone some way to addressing concerns. However, according to a recent Financial Reporting Council (FRC) report (Risk and viability reporting), investors are looking … Read more
In trying to defend the credibility of one of her senior colleagues, MP Nadine Dorries admitted on Twitter that she routinely shares her passwords with staff and interns! Poor password security is one of the main causes of Cyber Breach. The importance of password security requires leadership from the highest level. Educating all IT users … Read more