Financial drivers of conduct risk

The FCA has made it clear that conduct risk is at the heart of UK regulation. But what does it mean in practice? And how can you protect your firm?
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SM&CR – the tricky bits

If you’re not already in it, you’ve got till December 2019 to get ready – what’s going to be hardest?
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Gambling - CASS
Protecting customer money: lessons for gambling from investment6 September 2019 / Article If you are licenced by the Gambling Commission and hold customer money you need to pay close attention to your regulatory obligations. The same principles around the protection of these funds apply to investment firms in financial services. The approach by the FCA in applying their CASS client money rules can give useful pointers to the gaming industry. There’s hard won experience from investment firms which can be very useful. Increased regulatory scrutiny always hits the bottom line – do the simple things right and you will save money.
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