FCA regulated activities are described as within or outside the FCA Perimeter of legislation, a defined perimeter set by the Government and Parliament, and it…
Broken processes Manual business processes are expensive to resource from a human capital perspective but also rely on person-to-person communication, which for expediency and perceived…
A Regulatory Business Plan (RPB) Is Your Showcase To Demonstrate Understanding & Forethought. The RBP should demonstrate that the targets set by the candidate are…
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…
Original Post: 12th April 2019. Updated: 7th August 2019. Claims Management Companies will need to provide to the FCA, when and if asked, Compliance Procedures…
Working with Claims Management Companies CMCs in recent days, we can provide a Compliance Procedures Manual (around 100 pages) and Financial Crime Policy quickly.
We have extensive experience in training senior managers and other staff who are subject to the SM&CR (SMCR) and we have developed a range of…
Claims management companies (CMCs), known in the financial services compliance business as “Ambulance Chasers” will have to look for over ₤ 7m next year to…
Financial services providers, investment company and retail credit firms need to be Financial Conduct Authority (FCA) authorised. Here’s a summary of what you ought…
Claims management companies (CMCs), known in the financial services compliance business as “Ambulance Chasers” will have to look for more than ₤ 7m in 2019…