FCA Change In Control: What is Needed and Why This book provides an overview of the FCA’s change of control requirements for financial services firms…
Navigating the Maze: Our Experience with Enforcement of MLR 2017 by HMRC and the SRA Introduction In the labyrinthine world of financial regulation, our firm…
How to Keep Your Risk & Compliance Documents Organised and Up to Date Do You Have Control of Your Risk & Compliance Documents? Risk &…
Mastering Fair Value Assessment under the Consumer Duty Framework The main hurdle is the interpretive character of the concept, ‘value’ A thorough exploration of value…
The realm of consumer shopping has undergone a remarkable transformation with the advent of Buy Now Pay Later (BNPL) services. These innovative payment options offer…
Delve into the intricacies of the FCA Consumer Duty and its profound impact on the investment services industry with this comprehensive guide. This book aims…
One of the many questions we are asked here at Compliance Consultant is “Why should we work with you?” Whereas we could wax lyrical about…
Compliance Costs of services offered by Compliance Consultant London: Whenever we talk about consultancy services, we typically know that the cost of regulatory compliance consultancy…
Overview: “Mastering Fair Value Assessment” is a comprehensive ebook that provides financial professionals with a deep understanding of fair value assessment processes. By exploring various…
FCA Policy Statement 23/9 Finalised insurance guidance on supporting customers in financial difficulty. Background The Financial Conduct Authority (FCA) has published Policy Statement 23/9 (PS23/9),…
