THE IMPORTANCE OF AUTHORISATION Authorisation is one of the key techniques used by the FCA to regulate financial services. It attempts to efficiently identify and…
The extension of the SMCR to FCA solo-regulated firms affects over 45,000 financial companies. Do you know how the extension of the Senior Managers and…
Comprehensive Guide to FCA Authorisation for Firms In the realm of financial services, obtaining Financial Conduct Authority (FCA) authorisation is a crucial milestone for any…
The UK Information Commissioner’s Office (“ICO”), has flexed its muscles and announced its intention to issue fines rising above ₤ 275 million against two international…
All financial services firms experience the same hurdle as virtually any other new business: how to influence investors and lenders that your business has a…
Business conduct is in a bright and unforgiving spotlight. Treating Customers Fairly is not dead, it compliments the Conduct Risk agenda. Although much has been…
Conflicts of Interest Course Outline Complete the form below to contact us! What Makes Compliance Consultant Courses Different We have been delivering training for…
Working with Claims Management Companies CMCs in recent days, we can provide a Compliance Procedures Manual (around 100 pages) and Financial Crime Policy quickly.
Practical fraud prevention training for regulated firms and financial services teams. What Makes Compliance Consultant Courses Different We’ve delivered compliance, risk and financial crime…
Practical, FCA-focused training to help teams make consistent SAR decisions, avoid “defensive SARs”, and strengthen adverse media screening using a clear, risk-based methodology. Subject Access…
