Financial Regulation Specialist
Catherine spent 10 years at a Big Four firm advising financial institutions on regulatory compliance. She writes about FCA requirements, document retention obligations, and building audit-ready digital workflows.
How the FCA's Consumer Duty transforms documentation requirements for financial services firms, with practical guidance on building evidence trails that demonstrate compliance with outcome-focused regulation.
An analysis of the document retention and audit trail requirements arising from the Senior Managers and Certification Regime, including responsibilities mapping, handover procedures, and regulatory evidence standards.
How wealth management firms can meet FCA expectations for electronically signed client agreements, suitability letters, and COBS-mandated disclosures while maintaining a seamless client experience.
A detailed examination of SYSC 9 record-keeping obligations, retention periods by document type, and the practical steps financial services firms must take to build compliant document management workflows.