Financial Services Blog - read our popular updates and news


Industry Events Online Blog provides topical information on training and events that will interest potential delegates within the Financial Services industry. 


13
Nov
2017

Coaching

Author: DJ Learning

Dave James of DJ Learning discusses the benefits of coaching for the coach and coachee and why it's important in the work place environment.

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09
Nov
2017

Optimum team deliver

Author: DJ Learning

Dave James of DJ Learning talks about how to work with your teams to get optimum levels of performance.

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16
Oct
2017

Have you got the ‘Fred Factor’?

Author: DJ Learning

Establishing and maintaining relationships is a vital aspect for a business of any size, in any sector and in any environment.

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05
Oct
2017

Welcome to our global classroom

Author: DJ Learning

In an article written in the Guardian in 2014, according to some accounts, MOOC’s will revolutionise the higher education experience. MOOC’s is an acronym for ‘Massive open online courses’. Massive because they can be taken by thousands, simultaneously, open because there are simpler student enrolment processes and online because they can be accessed from anywhere on the planet that has internet accessibility. The New York Times has said that MOOC’s are ‘The revolution that has higher education gasping’.

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04
Oct
2017

Building a Team

Author: DJ Learning

Dave James of DJ Learning talks about making a difference in your organisation and creating a positive working environment.

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18
Sep
2017

Evolving stakeholder paradigms

Author: DJ Learning

Stakeholder management is a key aspect of any modern organisations activity. Keeping every stakeholder happy, despite their potential different priorities, expectations and objectives, is both vitally important and at times, thankless.

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05
Sep
2017

Motivation

Author: DJ Learning

Dave James of DJ Learning talks about motivation and how important motivation is in our personal and working lives.

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09
Aug
2017

Your Personal Brand

Author: DJ Learning

Dave James of DJ Learning talks about your personal brand. How you communicate through social media, how you want to reflect your personal brand. What you want people to see to improve your self and image. It's about who you are and who you want to be.

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17
Jul
2017

Change

Author: DJ Learning

Dave James of DJ Learning talks about self reflection. Self Reflection Taking your learning with you.....it doesn't end when the course or event ends. Self reflection will improve the way you think about what you do and how you can improve and move forward in life and learning.

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10
Jul
2017

Predictably Unpredictable

Author: DJ Learning

Whether you work in a large, medium or small sized business, endless uncertainty or lack of confidence will inevitably mean that business leaders have become cautious by either postponing or cancelling future investment decisions since the EU referendum. DJ learning blog takes a closer look.

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03
Jul
2017

Self Reflection

Author: DJ Learning

Dave James of DJ Learning talks about self reflection. Self Reflection Taking your learning with you.....it doesn't end when the course or event ends. Self reflection will improve the way you think about what you do and how you can improve and move forward in life and learning.

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21
Jun
2017

Financial Institutions Must Improve Their Online Data Security

Author: Sally Perkins

The financial services industry must improve their methods for protecting information. This comes after research found 96% of UK financial firms struggle to locate documents, according to research by document management solution firm, M-Files. With cyber threats becoming increasingly common and the General Data Protection Regulation (GDPR) coming into force next year, financial organisations are under even more pressure to protect sensitive customer information.

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19
Jun
2017

Life Long Learning

Author: DJ Learning

Dave James of DJ Learning talks you through the benefits of 'Life Long Learning' and how it can help you in your work and personal lives.

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24
May
2017

Change; nothing is forever

Author: DJLearning

Where ever you work and in all aspects of our lives, one guaranteed constant is change; we know that ongoing change is the new norm, also that the rate of change is getting faster and faster.

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17
May
2017

The 2017 Stella Walsh Award is kindly sponsored by CIFAS

Author: Fraud Women's Network

To mark the Fraud Women’s Network 10th Anniversary we are pleased to announce that we are now seeking nominations for The Stella Walsh Award which recognises women working in the fraud prevention industry.

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28
Apr
2017

Running a Marathon and working in business- They aren’t that different

Author: DJ Learning

Running a marathon and working in business have similarities that can't be ignored.

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24
Apr
2017

Understanding different management styles

Author: DJLearning

Each of us have our individual management styles which are constantly developing and are then applied in our own unique workplace environments. This of course clearly implies that our own managerial style(s) are never formulaic.

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27
Mar
2017

Work, it’s what we do

Author: DJLearning

Why do we go to work? A wide-ranging question which we respond to as individuals. For many of us, there will be the reality of working to pay the bills, the mortgage and survive. So ‘working to live’. However, the relationship between employer and employee is far more complex.

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08
Mar
2017

A Decade of the Fraud Women’s Network and Celebrating International Women's Day

Author: Fraud Women's Network

On this date (8 March 2007), 10 years ago, from small seeds the Fraud Women’s Network has grown into a successful and inclusive network which celebrates, nurtures and supports women working in the fraud prevention and security arenas.

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06
Mar
2017

Have we become Artificial or even Superficial Intelligence?

Author: DJLearning

With apparent increased reliance, we are supposed to have on technology, it has, for many of us become almost uncomfortable to ‘unplug’.

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03
Nov
2016

5 reasons to use modern online learning

Author: IASeminars

Oh no! Not another of these “5 reasons (or 7 or 10) for using e-learning”. You are probably already aware that this is not a new topic. In fact, if you search Google for '5 top reasons to use e-learning' you get 63,000,000 results. Sixty three million! For those who believe in the “wisdom of crowds” there must be quite a bit to learn from 63 million posts.

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17
Oct
2016

Don't miss out on the CML e-zine

Author: CML

Don't miss out on the Council of Mortgage Lenders e-zine. In this edition

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08
Sep
2016

CML Events September to December 2016

Author: CML

The events programme from the Council of Mortgage Lenders includes a range of conferences, seminars and networking events including an industry highlight - the annual dinner.

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06
Sep
2016

Incident Management Principles by Toni Sless

Author: Risk Avengers - Toni Sless

All businesses, large or small, should have a plan of action and incident management response plan in place in order that they can effectively mitigate an incident be it a cyber attack, data breach, fraud, or that of a critical threat and be able to respond in a timely manner.

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06
Sep
2016

Industry Events Online welcomes The Risk Avengers to its Advisory Panel

Author: IEO Team

Industry Events Online welcomes The Risk Avengers to its Advisory Panel.

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10
Aug
2016

The Risk Avengers’ Business Trip Planned? Travel Security Basics

Author: Toni Sless

As with most professions these days, we communicate on a regular basis via the wonders of modern technology with the ability to sit comfortably at our desk in the office or even whilst working from home. However, nothing quite beats having those face to face meetings with your client, supplier, vendor etc, to secure that deal, manage a project on site, mitigate problems or to just say hello. Unfortunately though, as we know only too well with recent tragic events in the forefront of our minds, travelling isn’t always as safe as we assume or hope it to be.

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25
Jul
2016

The Risk Avengers’ Top Tips to Improve your Organisation’s Security

Author: Toni Sless

With the launch of The Risk Avengers, they thought it a timely reminder of their top tips to improve your organisation’s security combating fraud and cyber crime.

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27
Jun
2016

U.S. GAAP, why learn it?

Author: IASeminars

The opening decade of this century saw significant growth in the global use of International Financial Reporting Standards (IFRS). When the IASB was formed in 2001, only a small handful of countries followed IFRS for their financial reporting information. A recent study by the Trustees of the IFRS Foundation found that 116 out of 140 global “jurisdictions” had fully adopted IFRS as their accounting standard. Of the remaining 24, 14 permit or require IFRS for at least some domestic public companies and two are in the process of moving to IFRS.

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20
Jun
2016

Management Accounting – Ensuring Every Shipment is Profitable

Author: IA Seminars

Gatekeepers control access to the company’s resources. Their job is to insure that only business that enhances the company’s ability to meet or exceed its financial objectives is permitted through the gate.

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13
Jun
2016

CML Events June to December 2016

Author: CML

The events programme from the Council of Mortgage Lenders includes a range of conferences, seminars and networking events including an industry highlight - the annual dinner.

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06
Jun
2016

Not to be missed! - CML Dinner 7 December 2016

Author: CML

View the CML's recent flyer on their Annual Dinner to be held in London on 7 December 2016. The dinner is a fantastic opportunity to entertain clients, reward teams, celebrate success and say hello to familiar faces or make new business contacts.

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09
May
2016

Industry Events Online celebrates two year anniversary by becoming Ambassador for the CPD Standards Office

Author: IEO Team

Industry Events Limited is delighted to announce that it is now an ambassador of the CPD Standards Office (CPDSO) based in the UK.

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28
Apr
2016

The Inducement Trap

Author: Jonathan Howland, Compliance Officer/MLRO at Church House Investments

The FCA has just issued their findings of their 2015 thematic review about benefits provided and received by regulated firms. This focused upon the inducement rules and how firms are addressing the requirement that any payment or benefit is designed to enhance the quality of service to the client.

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12
Apr
2016

A Prescription for Success

Author: IASeminars

When writing or training Robert Moulin will often remember times past from his own learning, various situations, examples and scenarios that come to mind. So, for anything costing related he'll no doubt recall the lessons of a great teacher he had – he called him “Doctor Widget”.

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01
Apr
2016

IASeminars Turns Training on Its Head

Author: IASeminars

New research undertaken by IASeminars finds an unusual way to increase information retention during IFRS courses.

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31
Mar
2016

Treating Customers Fairly?

Author: Jonathan Howland, Compliance Officer/MLRO at Church House Investments

Treating customers fairly. This is a reasonable expectation. Whenever you go to a bank, a clothes shop, a mobile phone website or an energy supplier, you would hope that this is the minimum standard set by that provider. Indeed, you would expect it from any provider of goods and services. Jonathan Howland takes a closer look.

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17
Mar
2016

Meet IASeminar's Instructor - Alan Mayo

Author: IASeminars

IASeminar's latest ‘Meet the Instructor’ is with Alan Mayo who focusses on Oil and Gas, Public Sector Finance and IFRS courses.

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11
Mar
2016

COMPLIANCE tells the chilling story of just how far one might go to obey a figure of authority

Author: Jonathan Howland, Compliance Officer/MLRO at Church House Investments

So how do you define compliance? Whenever I am asked what I do for a job, it can often be a challenge to explain in simple terms to a non-industry person, so I frequently have to resort to simply stating that I have to make sure that all customers are treated fairly and the business is conducted within the rules and regulations set by the regulator.

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02
Mar
2016

Should “Risk Appetite” actually read “No appetite for risk”

Author: John Horan - Maze Investigations, Compliance & Training LTD

De-risking is fast becoming the default approach by Financial Institutions when faced with hard questions in respect of the need to continue or indeed establish a business relationship with a client or potential client.

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22
Feb
2016

The only thing that is constant is change

Author: IA Seminars

New bank regulation has been introduced to fix the faults that led to the financial crisis and comes with high compliance costs.

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05
Feb
2016

The Great PEP Myth

Author: John Horan - Maze Investigations, Compliance & Training LTD

So it appears the banks are pre-empting the introduction into UK law by starting the process early, so far so good, or is it?

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25
Jan
2016

One rule for the regulated and one rule for the regulator

Author: John Horan - Maze Investigations, Compliance & Training LTD

HMRC who regulate a number of Financial Institutions such as MSBs and also DNFBPs such as Estate Agents are quick to criticise and keen to issue fines to show they take their duties seriously. Indeed their predecessor the Office of Fair Trading issued a whopping fine of £169,652 to Jackson Grundy an Estate Agency firm based in Northampton. John Horan takes a closer look.

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19
Jan
2016

Despairing over the Bureaucratic Approach to Anti-Money Laundering

Author: John Horan, Maze Investigations, Compliance & Training LTD

While we all wait for the 4th Directive on Money Laundering to pass into UK Law, let us look at where we are now.

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14
Dec
2015

The dummy's guide to committing fraud

Author: Nucleus Financial Services

Detecting and preventing fraud in the financial services sector can be a daunting task. There are threats internally, externally, domestically and internationally. But by knowing and understanding your enemy, you can ensure you have policies and procedures in place to help mitigate these risks.

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07
Dec
2015

Mitigating Risks of Procurement Fraud

Author: IA Seminars

Procurement fraud is one of the most pervasive types of fraud which occurs in the public sector. IA Seminars takes a closer look.

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03
Dec
2015

Cup Hands......

Author: IA Seminars

Waiting to board a recent flight I, like most other travellers, was locked into my phone. IA Seminars blog takes a look at corporate wrongdoing.

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09
Nov
2015

3 Ways to Solve the Problem of CPD Easily

Author: Martyn Oughton

How to solve your CPD problems in a nutshell in this week's blog from Martyn Oughton.

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27
Oct
2015

An Urgent Call to Training – Get Ahead of the Game Now!

Author: Martyn Oughton

Martyn Oughton looks at the upcoming SM&CR regime extension and its implications for working professionals.

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20
Oct
2015

Fraud Isn’t Going Away – and Neither is the Need for Training

Author: Martyn Oughton

Reports coming out over the weekend suggest that between April and August this year, over £9 million has been stolen from pension policyholders in what is known as pension liberation fraud.

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12
Oct
2015

A Very Peculiar Financial Services Situation… and How Training Can Help Firms to Keep on Top of It

Author: Martyn Oughton

The structure of regulation, and the way in which the regulators operate, have both been subject to a great deal of change recently

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06
Oct
2015

4 Reasons Why Your Training for Your Assurance Functions is Going to Become Absolutely Crucial

Author: Martyn Oughton

Martyn looks at how training for assurance businesses is just as crucial as it is for other professionals in the financial sector.

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29
Sep
2015

The View From the Training Room Part 3 – Your 3-Step Guide to Making the Most of Conferences

Author: Martyn Oughton

Martyn continues his 'View from the Training Room' series with Part 3.

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21
Sep
2015

The View from the Training Room Part 2 – Why Being Taken Away from the Office Can Be a Good Thing

Author: Martyn Oughton

Martyn Oughton looks at why being taken away from the office for the day in order to do a training course can be a good thing.

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15
Sep
2015

The View From the Training Room Part 1 – The Power of Training Explained

Author: Martyn Oughton

Having recently been on a training course for the first time in a little while, it struck me that one of the things I haven’t written about so far is the nuts and bolts of training in all its various forms. So rather than just talking about it from the outside, I’d like to look more closely at what it is that I've been promoting for the last year or so. And I’ll start with a day of external training.

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07
Sep
2015

It’s Time for Senior Managers to Get Serious; and to Be Trained

Author: Martyn Oughton

In this week's blog, Martyn notes how training is just as relevant for experienced, senior professionals as it is for the younger workforce.

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25
Aug
2015

The Training Checkpoints you Need After Enforcements Keep on Coming

Author: Martyn Oughton

Martyn observes the inescapable nature of financial enforcement actions, and remarks how training can help one deal with this.

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18
Aug
2015

Why Training is Still Important Despite This Particular Threat Appearing to Recede

Author: Martyn Oughton

This week's blog post by Martyn Oughton takes a closer look at the reduction of attestations recorded by the UK's Financial Conduct Authority.

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04
Aug
2015

Why the Need for Training will Still Be There Even After The Holidays

Author: Martyn Oughton

Martyn looks at the non-stop nature of regulatory change and the importance of training in order to understand this change.

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27
Jul
2015

Why the Latest from the FCA means Training is Now More Important than Ever

Author: Martyn Oughton

The financial services industry was left to get to grips last week with the latest Policy Statement from the FCA – this time on the subjects of complaint handling and reporting.

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20
Jul
2015

How Training can Help you to Avoid Slipping on these Banana Skins

Author: Martyn Oughton

Martyn Oughton takes a closer look at PwC's insurance Banana Skins report.

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13
Jul
2015

July is a busy month - Are you Ready to Respond?

Author: Martyn Oughton

We’re only just out of the first week in July and already it’s off to a frenetic start. Admittedly, some of the change that’s happening this month has been planned for a while. But this doesn't lessen the burden on firms when it does come around. The work still needs to be done!

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08
Jul
2015

The importance of curiosity and courage

Author: Fraud Women's Network

It's stressful being a rogue trader. The Fraud Women's Network provided an entertaining event last week. Read all about it!

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06
Jul
2015

There’s More Coming from Europe than you Might Think – and That’s Why it’s Time to Get Trained

Author: Martyn Oughton

With so much focus on changes in UK regulation at the moment, it’s easy for firms to shift their focus to what’s happening on our own shores and perhaps not to pay quite so close attention to what’s going on in Europe.

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29
Jun
2015

How One Big Opportunity Reveals a Number of Training Needs

Author: Martyn Oughton

Martyn Oughton discusses the FCA's revolutionary discussion paper on smarter communication with customers.

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22
Jun
2015

It’s Nearly Time for Solvency II; It’s Definitely Time for Training

Author: Martyn Oughton

Solvency II is nearly upon us so training could never be more important!

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14
Jun
2015

Four Things You Definitely Cannot Outsource

Author: Martyn Oughton

08
Jun
2015

One Small Document, Many Training Needs

Author: Martyn Oughton

It’s fair to say that the PRA’s recent consultation paper on its Supervisory Statement isn’t the longest document that it has ever produced. But as it applies to all firms regulated by the PRA, it needs to be read.

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26
May
2015

Look Forward and Back, But Do One Thing to Keep Yourselves Safe

Author: Martyn Oughton

There are two interesting developments in regulation that have been announced recently. They’re not necessarily connected, but it’s important to be aware of both of them, because they potentially represent a regulatory assault on two fronts.

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19
May
2015

No Political Spin Here – Just A Warning to Get Ready

Author: Martyn Oughton

FCA Complaints statistics are out and there's no point getting in a spin! Martyn Oughton looks at the stats and what they might mean.

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11
May
2015

Never Mind Star Wars – Here Comes a Different Kind of War

Author: Martyn Oughton

In this week's blog Martyn takes a look at the changing roles within financial services compliance departments

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08
May
2015

Fraud Scams: Victims and vulnerabilities in the modern age

Author: Fraud Women's Network

The Fraud Women's Network Annual Event took place in London with speakers from the FCA and CIFAS. Read Toni Sless' (Chairwoman of FWN) Industry Events Online blog about the event.

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05
May
2015

Management Information – The Key to Unlock your Training Needs

Author: Martyn Oughton

It’s time to look at MI in a different light – maybe it’s time to think about what MI can tell us about our training needs, not just information about the business.

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24
Apr
2015

What Are Your New (Tax) Year’s Resolutions?

Author: Martyn Oughton

So – we’re into the new tax year already. It creeps up on us because not that long ago we were celebrating the New Year. Now we’re celebrating a new tax year; or perhaps celebrating is too strong a word. Either way, we as an industry are having to embrace another tax year, with all the changes that it brings. Martyn Oughton looks at the challenges.

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13
Apr
2015

How has the first week of pension reforms been for you?

Author: Martyn Oughton

It’s been a slightly shortened first full working week in April 2015 due to the Easter Bank Holiday, but at the same time it’s been a momentous one – the pension reforms that have been talked about so much over the last year have finally arrived. Martyn asks how is the reform looking for you?

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05
Apr
2015

How many of these are on your to-do list?

Author: Martyn Oughton

To say that it’s a busy time for regulatory change at the moment is to understate the position just a bit. It may be a combination of the tax year-end and the timing of new reforms that is driving much of this activity. But whichever way you look at it, the last week in March has seen activity levels from the regulators reach new heights. From a firm’s point of view, this means a huge amount of information to assimilate, quite often in a very short space of time.

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23
Mar
2015

Your Three-Point Budget Checklist

Author: Martyn Oughton

As with every year, this year’s Budget served to fill lots of column inches in the media. And as with previous years, it’s not just been changes in beer and fuel duty that have been grabbing the headlines (although you can always rely on these to do so).

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16
Mar
2015

Four Ways to Play your Part in Protecting the Vulnerable

Author: Martyn Oughton

Martyn examines the FCA's recent occasional paper that looks at vulnerable customers.

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09
Mar
2015

Take the Market Abuse Prevention Test – How Will You Fare?

Author: Martyn Oughton

Test your Market Abuse deterrent skills with these six questions.

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02
Mar
2015

Time to Look at Conflicts Again

Author: Martyn Oughton

The way in which firms manage their conflicts of interest is something that keeps coming back time and time again as a regulatory issue. Martyn Oughton takes a closer look.

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23
Feb
2015

The One Guarantee that No One Looks For

Author: Martyn Oughton

On 13 February 2015, the FCA published its first set of data on the numbers of attestations requested. The intention is that the FCA will publish this on a quarterly basis in future, but the first set of data covers from the end of 2013 to the first part of 2015 (based on quarters of the FCA’s year, which runs from 1 April to 31 March). A whole year’s figures make for interesting reading.

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18
Feb
2015

Operational Risk Management: “Time For A Face Lift”

Author: CFP Events

Craig Spielmann is the Former Global Head of Operational Risk at RBS Americas and Founder and CEO of RiskTaO, LLC. He will be one of many Professionals presenting at CFP’s Risk Americas 2015.

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16
Feb
2015

Why it’s Important to Work with What You Know, and Not Worry about What You Don’t Know

Author: Martyn Oughton

With just over seven weeks before the new pension reforms start to take effect, it’s time to take a reality check. This will cease to be a project that firms need to deliver and will become real life. Martyn looks at what you should and should worry about!

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09
Feb
2015

The Postman is Still Alive and Kicking: What This Means for You

Author: Martyn Oughton

Post, or snail mail as it's affectionately called, as a medium of communication is still alive and thriving. Martyn looks at how the financial world is impacted.

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02
Feb
2015

Do you have a Rapid Response Plan?

Author: Martyn Oughton

Earlier this week, preparations took an unexpected twist with regard to the pension reforms to be introduced in April 2015. This blog post from Martyn Oughton looks at the implications in more detail

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22
Jan
2015

And Not Forgetting Risk

Author: Martyn Oughton

It’s easy to forget that there are other control functions within firms where the requirement for people to acquire new skills and knowledge is just as important; and one of those is the risk function.

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16
Jan
2015

The Winds of Change Require a Windbreak against Financial Crime in the UK

Author: Martyn

The start of 2015 brings the realisation that a number of changes will affect the anti-financial crime function within financial services regulated firms. Some of these are obvious, some less so. Martyn Oughton takes a closer look.

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08
Jan
2015

New Year, New Start. But New Challenges as Well

Author: Martyn Oughton

There’s no doubt that in the financial services industry, this will be another interesting and possibly energising year. Developments in both regulation and the economy bring about the possibility of new opportunities. There’s also the prospect of continued growth as the economy hopefully continues to improve. The possibility of a change in government may well shake things up too....this blog focuses on a few key areas to think about for 2015.

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22
Dec
2014

Peer to Peer Lending ("P2P") Platforms - BG Consulting Newsletter

Author: BG Consulting

P2P is probably most readily associated with the consumer-focused Zopa, which claims to have created the market almost ten years ago. However, BG Consulting shows that small businesses are also benefiting from this new technology.

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15
Dec
2014

Does a More Open Annuity Market Require a More Open Training Approach?

Author: Martyn Oughton

FCA issues Thematic Review TR14-20 on its review of the annuities market. Martyn Oughton comments.

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08
Dec
2014

The Cloud Has a Silver Lining for Insurers – Just Watch Out For Showers

Author: Martyn Oughton

A couple of weeks ago, the PRA and the FCA issued two documents which must have resulted in collective sighs of relief within insurance companies and Lloyd’s syndicates. They deal with the subject I’ve covered in blog posts during both October and November 2014; that of the proposed new senior managers regime for insurers.

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01
Dec
2014

Getting Back to Basics on Financial Crime

Author: Martyn Oughton

On 14 November, 2014, the FCA issued proposals for increased guidance on the subject of financial crime. This will take the form of additional examples of good practice to be added to “Financial crime: a guide for firms” (the FC Guide).

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28
Nov
2014

And the winner is.....Industry Events Online

Author: IEO Team

Industry Events Online has won "Most Innovative Solutions Provider" at this year's Compliance Register Awards ceremony and also got to meet Rick Wakeman no less!

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23
Nov
2014

If Customers are Complaining, Look at Your Training

Author: Martyn Oughton

The FCA's TR14/18 on complaints handling coincided with Industry Events Online first webinar which looked at the threats posed to financial services firms for lack of sufficient training programmes. Martyn's blog explains.

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21
Nov
2014

Success with our first financial services event

Author: Gareth Rowlands

We successfully launched our first webinar this week. Recording, slides and white paper are all available on request.

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17
Nov
2014

The Real Game-Changer that Sits Behind the Headlines

Author: Martyn Oughton

There’s been a lot of focus in the media recently about the proposed new Senior Managers regime for banks, building societies and investment firms. Quite rightly so, because, when it’s introduced, it will shift the goalposts significantly in terms of how senior individuals are held to account. This blog post looks at how firms will be impacted and why all relevant staff should be prepared.

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10
Nov
2014

Cyber-Crime: Let’s Start With the Basics

Author: Martyn Oughton

Thomson Reuters published the results of a very interesting survey recently, which canvassed the views of over 200 corporate and company secretaries from firms across many parts of the world, on some of the key challenges faced by boards. Martyn Oughton raises important questions about training and how it can help in the battle against cybercrime.

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06
Nov
2014

It’s Not Just About the Bonuses – Performance Matters Too!

Author: Martyn Oughton

This hasn’t garnered a great deal of publicity lately, but there’s one particular piece of thematic review work that the FCA has said it will carry on during the 2014/15 year....Bonuses!

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27
Oct
2014

Why it’s Not Just Investors Who Need to be “Scam Smart”

Author: Martyn Oughton

Martyn was really pleased to see that the FCA has ratcheted up its efforts to promote awareness of investment scams to the public. If you don’t know anything about this, visit the FCA website and you’ll find a section headed “Be a Scam Smart investor”. This Blog posts looks at the issues.

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20
Oct
2014

Will the Pension Changes be a “Dash for Cash” or a Relay Race?

Author: Martyn Oughton

Martyn discusses the changes to pensions announced in this year’s Budget which were put centre-stage again on 14 October, with the media reporting that the Chancellor would be announcing a new pension withdrawal option.

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12
Oct
2014

Senior Managers under the Spotlight – Part 2: a New Regime – and Lots More of Us Could Be along for the Ride

Author: Martyn Oughton

Part 2 blog focusing on Senior Management and the new senior managers regime. On their own, the new PRA and FCA rules could be seen as enough to get to grips with, what with the small matter of trying to run a business as well. But for senior managers working in the banking sector, there are actually even bigger fish to fry. This blog highlights some main considerations.

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04
Oct
2014

Senior Managers under the Spotlight – Part 1: Why Dual Regulation Could Soon Mean Double Trouble

Author: Martyn Oughtoon

Martyn Oughton addresses Senior Management responsibilities under the FCA and PRA and compares FCA Principles for Businesses against the new PRA Fundamental Rules pointing out the subtle changes and addressing why training and education is so important.

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03
Oct
2014

Nominations are now open for The Compliance Register 2014 Platinum Awards

Author: Industry Events Online

The Compliance Register is pleased to announce that its 11th Annual Awards will be taking place on 27 November 2014 at the Lancaster London hotel. Nominations are invited covering firms, teams and individuals across approximately 40 categories

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01
Oct
2014

Continuous Learning as Sustainable Competitive Advantage - BG Consulting

Author: BG Consulting

Adrian Grant (Managing Director, BG Credit Limited) discusses the need for a blended approach to learning in the credit environment.

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28
Sep
2014

Training Could Be a Nice Problem to Have, But it Still Needs Solving

Author: Martyn Oughton

As the UK comes out of recession, the financial services industry is proving to be one of the main beneficiaries. Martyn Oughton takes a look at the latest CBI report and what it means in practice.

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25
Sep
2014

IEO Press Release: IEO Welcomes BG Consulting and Corporate Training Partnerships

Author: IEO Team

BG Consulting and Corporate Training Partnerships have chosen Industry Events Online to increase exposure to their financial services' events and training sessions.

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18
Sep
2014

Three Reasons why MLROs Should be Concerned about the Future, and One Positive Thing They Can Do About It

Author: Martyn Oughton

Being a Money Laundering Reporting Officer (MLRO) isn’t an easy job at the best of times. He or she carries the can for the effectiveness of the financial crime controls within their firm, and there’s the added pressure of having to make judgement calls in a risk-based environment. This blog looks at three reasons why MLRO's should be concerned for the future.

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10
Sep
2014

Attestations: The Tip of a Dangerous Iceberg

Author: Martyn Oughton

Attestations. You may have heard of them. You may have had to prepare one for a senior manager. Or you may be an approved person who has been asked to provide one. Either way, you’ll have been through a process that was no doubt stressful and uncomfortable.

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04
Sep
2014

Enforcement for two; a warning for all!

Author: Martyn Oughton

Enforcement actions for firms still seem to be coming thick and fast. RBS has been in the firing line yet again in the last week, as has NatWest, for failings in their advised mortgage sales business. But, before you dismiss this as just more big fines for major banks, you need to look more closely at what's going on here.

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28
Aug
2014

Meeting the Challenge of Conduct Risk – Not Just Now But in the Future

Author: Martyn Oughton

Martyn Oughton points out the importance of training and events to ensure the FCA's conduct risk obligations are being met now and in to the future.

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20
Aug
2014

How training can help solve the problem of financial promotions

Author: Martyn Oughton

Financial promotions is a subject that’s getting a lot of attention at the moment, primarily because the FCA is quite active in this area. The challenge this presents for firms is that if they don’t get their promotions right, there are a number of parties ready to bring them to account, and the FCA has shown that it’s not afraid to take action against firms who get their promotions wrong.

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20
Aug
2014

IEO Press Release: IEO Welcomes Martyn Oughton

Author: IEO Team

Welcome to Martyn Oughton who has joined Industry Events Online's Advisory Panel and will also be writing a weekly blog on the importance of good training and events.

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14
Aug
2014

FCA T&C Rules Reminder

Author: IEO Team

A reminder of the Financial Conduct Authority (FCA) Training & Competency (T&C) Rules regarding Continual Professional Development.

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07
Aug
2014

Summer time planning!

Author: IEO Team

Time to relax and take stock and also time to plan your event and training attendance for the rest of 2014. Check our selected events for September 2014 - not to be missed!

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31
Jul
2014

IEO Press Release: IEO Welcomes Risk Reward & Institute of Financial Accountants

Author: IEO Team

RiskReward Limited and the Institute of Financial Accountants have chosen Industry Events Online to increase exposure to their financial services' events and training sessions.

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24
Jul
2014

Webinars: fail to prepare, prepare to fail!

Author: Michelle Parkes, Financial Services Marketing Consultant

Don't let your webinars ruin your reputation. Tips for successful presentations.

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22
Jul
2014

A few tips for event and training providers

Author: IEO Team

Financial Services can be a dry topic but events and training don't have to be. Here we provide a few quick basics reminders for event and training providers.

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11
Jul
2014

What does Clive Shelton think CPD Challenges are?

Author: IEO Team

Clive Shelton addresses CPD Challenges for practitioners.

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09
Jul
2014

Top Tips when making submissions to the board

Author: Gareth Rowlands

CISI Financial Services Regulation Summit 2014 well received by the industry and looks at top tips for Compliance Officers when addressing the board.

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27
Jun
2014

FCA Continual Professional Development - The Requirements in a Nutshell

Author: IEO Team

The FCA CPD requirements set out in a nutshell.

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17
Jun
2014

Industry Events Online RSS Feed launched

Author: IEO Team

Industry Events Online has enhanced its site yet further with the addition of an RSS feed making it even easier to find and keep up to date with financial services events.

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16
Jun
2014

IEO Press Release: TISA and The FS Club select IEO

Author: IEO Team

TISA and The Financial Services Club of England, Scotland and Ireland has chosen Industry Events Online to increase exposure to its financial services' events.

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29
May
2014

The importance of CPD

Author: Gareth Rowlands

Ensuring the calibre of individuals joining the financial services industry is good, not only in the UK but globally, is a crucial factor as is maintaining such standards of professionalism.

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23
May
2014

20 CPD credits up for grabs next week!

Author: IEO Team

ACAMS 10th Annual AML & Financial Crime Conference next week will earn you 20 CPD points. Also don't miss out on BIBA tour of Lloyds of London and their East Midlands Compliance Forum!

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13
May
2014

So why are delegates now fighting for places?

Author: IEO Team

So why now are delegates fighting for places at relevant events? Regulatory change is our guess and lots of it!

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08
May
2014

Successful launch of Industry Events Online

Author: IEO Team

We've successfully launched Industry Events Online. Also see featured events for next week!

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06
May
2014

IEO Press Release: IEO Launch

Author: Industry Events Online

The new website, which is available at www.industryeventsonline.com, aims to assist delegates and event providers as well as professional bodies link up on one easy to use website. Delegates can now search and compare financial services’ events and training by sector, theme, location, price, CPD hours or points as well as by provider. All content allows delegates to also sort content by chosen preferences.

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05
May
2014

Welcome to IEO

Author: Gareth Rowlands

Welcome to Industry Events Online where finding the right event for your needs and regulatory deadlines has just become a whole lot easier.

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