Insights
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Farage and Debanking Update
The current media interest in the banking arrangements of Nigel Farage has highlighted some of the challenges faced by financial institutions when deciding which new customers to take on and which customers to keep.
Summary of the PSD3 Proposal
The current media interest in the banking arrangements of Nigel Farage has highlighted some of the challenges faced by financial institutions when deciding which new customers to take on and which customers to keep.
When Reputational Risk Management Causes Reputational Harm
The current media interest in the banking arrangements of Nigel Farage has highlighted some of the challenges faced by financial institutions when deciding which new customers to take on and which customers to keep.
FCA Consumer Duty – Next Steps
With the Consumer Duty coming into force on 31st July it is important for impacted firms to not see this as the finishing line, but rather the start of a continuous process to support and enhance customer outcomes.
Compliance Risk Assessments
Understanding where compliance risks are lurking in your business, and whether or not the controls in the first and second lines of defence are effectively mitigating those risks is of critical importance to Compliance Heads and Senior Management.
Client Transitions: Navigating Tricky Waters
Navigating the tricky waters of migrating clients from one platform to another is a difficult yet frequent undertaking in Financial Services.
Client Transitions / Data Migration
An in depth insight review into the challenges of client transitions between platforms and the services offered by New Link Consulting.
Sanctions and KYC following the Russian Invasion of Ukraine
“Businesses need to take basic steps to investigate their own potential links to sanctioned Russian businesses and individuals, or else face the potential for what should be an avoidable worst-case scenario…You are supposed to be screening absolu...
The FinCEN Files – Our Perspective
Over 2,100 Suspicious Activity Reports (‘SARs’) that were filed with the U.S. Treasury's Financial Crimes Enforcement Network (FinCEN) between 2011 and 2017, have been leaked to BuzzFeed News and investigated by a team of reporters from the Inter...
Assessing the Effectiveness of a Compliance Function
Whilst many firms may think that their Compliance arrangements are purring along just nicely thank-you-very-much, there are not many who can say – never mind actually evidence – that their Compliance function is doing everything just right.
Co...