Hosted by Compliance Doctor · 🇺🇸 US · EN-GB · 58 episodes
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People appreciate the high level of information and regulatory insight from the Compliance Doctor, part of Compliance Consultant, because it empowers organisations to navigate the complex landscape of compliance effortlessly. With expert insights, businesses can stay ahead of regulatory changes, reduce risks, and enhance their operational integrity. The tailored guidance helps in understanding intricate regulations, fostering a culture of compliance, and promoting best practices. Ultimately, this proactive approach not only safeguards the organisation but also builds trust with stakeholders
Compliance Doctor hosts The Compliance Doctor, a business show with 58 episodes published.
The appointed representative regime was designed to widen access to regulated markets. But for principal firms, it comes with a burden of responsibility that many have consistently underestimated — and that the FCA has s
Consumer Duty has been in force since July 2023, and the FCA is no longer giving firms the benefit of the doubt. Supervisory visits, thematic reviews, and enforcement activity are all signalling the same message — having
Is your firm's Fair Value Assessment actually fit for purpose — or is it a compliance exercise dressed up as consumer protection? Since Consumer Duty came into full force, the FCA has been unequivocal: firms must be able
When it comes to Politically Exposed Persons and high-risk customers, the gap between having an EDD process and having one that actually works is wider than most firms realise — and the FCA knows it. Enhanced Due Diligen
The FCA and PRA's operational resilience framework is no longer a future obligation. The March 2025 implementation deadline has passed — and firms are now expected to be operating within their impact tolerances, not stil
An FCA supervisory visit is not a conversation. It is a structured regulatory assessment of your firm's systems, controls, and culture — and firms that treat it as an informal check-up are the ones that end up with the m
Every regulated firm has a compliance risk register. Far fewer have one that genuinely reflects their risk profile, drives management decision-making, or would survive scrutiny from the FCA, an internal auditor, or a ski
Payment service providers operate in one of the most rapidly evolving regulatory environments in UK financial services. Yet the compliance risk registers many PSR-authorised firms rely on were built for a different busin
Filing a Suspicious Activity Report is one of the most consequential decisions a compliance professional makes. Get it wrong in either direction — failing to file when you should, or filing without adequate reasoning — a
A Compliance Monitoring Programme is one of the most powerful tools a regulated firm has. It is also one of the most consistently underused — and the FCA's supervisory findings show that the regulator is increasingly foc
A Section 166 skilled person review is one of the most significant regulatory interventions an FCA-regulated firm can face. It is not a routine supervisory visit. It is a deep, independent examination of your firm's syst
Sanctions compliance is no longer a back-office checkbox. With OFSI issuing significant monetary penalties, the FCA embedding sanctions risk into its supervisory framework, and the geopolitical landscape producing new de
Every FCA-regulated firm and payment service provider subject to the Money Laundering Regulations 2017 must have a Business-Wide Risk Assessment. Not a summary. Not a policy statement. A documented, evidenced, and regula
When a Senior Manager leaves a regulated firm, retires, or moves role, the accountability they carried does not simply transfer with their laptop and access credentials. Under SMCR, handover is a regulated event — and th
The FCA's expectations around vulnerable customers have never been more explicit. Under Consumer Duty, identifying, recording, and appropriately supporting customers in vulnerable circumstances is not a discretionary act
Under SMCR, the FCA's Conduct Rules apply to virtually every individual working in a regulated firm. When a potential breach is identified, what happens next is not a matter of internal discretion — it is a regulated pro
If you're a Senior Manager, MLRO, or Compliance Officer working inside an FCA-authorised firm, you already know that SMCR isn't just a box-ticking exercise — it's a personal accountability regime with real criminal and c
Submitting a Senior Manager Function application to the FCA sounds straightforward. In practice, it's one of the most consequential regulatory processes a firm will go through — and one where mistakes, omissions, or poor
Replacement business is one of the oldest conduct risks in financial services — and one that continues to generate regulatory findings, redress requirements, and in serious cases, enforcement action. The FCA has been cle
Outsourcing a function doesn't mean outsourcing the responsibility for it. That's one of the most important — and most frequently misunderstood — principles in FCA regulation. Yet every year, firms face supervisory scrut
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The Compliance Doctor is hosted by Compliance Doctor. The show is categorised under business (management) and has published 58 episodes.
The Compliance Doctor has published 58 episodes.
The Compliance Doctor regularly covers business, management. It sits in the business category, with a management focus.
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