Compliance Consultant have re-launched their high speed website To get the word out, we have introduced a competition to the first 50 respondents in the…
For a fraction of the cost of a fine or management time wasted during regulatory scrutiny, we can review, revise, recommend and embed the right…
What is professional indemnity insurance? Professional indemnity insurance, also referred to as PI insurance, is a type of business insurance that covers you for…
What is an Asset Management Company (AMC)? An asset management company (AMC) is a firm that invests a pooled fund of capital on behalf of…
What is a Past Business Review (PBR)? If your firm has identified potential mis-selling and is required to undertake a Past Business Review (PBR), you…
Regulatory Services For Regulated Firms including Past Business Reviews If you know of anyone that is looking for; Specialist Regulatory Support; File Checking and Past…
“Everyone knows the strategy to remain compliant, but they often fall down or lapse the key tactics needed to keep up to date. with the…
Training & Competence – T&C The importance of this section cannot be under stated. Due to the changes in this area and post-Brexit potential changes,…
Version control is important when documents are being created, and for any records that undergo a lot of revision and redrafting or annual reviews. It…
FCA Fine? You may be in good company! Penalties for regulatory compliance breaches can be eye-watering in scale. 2020 largest Fines 1. Goldman Sachs International…