SMCR is one of the strictest accountability codes of any industry with executives vulnerable to penalties, including jail, for failings beneath their oversight.
During March 2018, the FCA released its consultation paper (CP18/6) on its proposed approach to the application of the European Banking Authority’s (EBAs) final guidelines…
The philosophy of “conduct risk” has bubbled to the top of firms’ and regulators’ agendas in the last few years. In the UK, the FCA…
FCA Authorisation?: It may seem a little trite to compare submitting an authorisation to a magic trick, however, many firms do just that. If you…
At last! A site that helps you understand differences between an FCA Authorised Person. FCA Approved Person and the FCA Regulated Activities involved. Also helps…
FCA Authorisation? Many firms ask the question whats does FCA authorised mean? They want to understand what FCA regulated activities would be involved if the…
FCA Authorisation? It may well sound worn-out, to compare submitting an authorisation to a magic trick, Nevertheless if you are under any illusion that less-than-perfect…
It might possibly appear run-of-the-mill, to compare making an application for authorisation to a magic trick, However if you are under any impression that less-than-perfect…
We are the home of the “Compliance Doctor” and have the following values, to which we adhere; Fairness – we don’t judge Sound recommendations (with…
Are Loan Market Funds For You? Cash funds are among the most popular money management tools. These financial investments are also touted as the safest…
