Setting up a business to work from London, UK, when you are an overseas entity can be daunting and is not for the feint-hearted, but…
Lee Werrell, Chartered FCSI and owner of Compliance Consultant states, “As with all good compliance; it’s not what you do, it’s what you wrote down…
Deep in the heart of your company’s network directories are in all likelihood to be a variety of vital documents. These documents could well save…
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…
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…
Effective Management Information for conduct risk Management Information: The conception of “conduct risk” has risen to the top of firms’ and regulators’ agendas in the last…
Underpinning better decision-making by using effective Management information for conduct risk The principle of “conduct risk” has risen to the top of firms’ and regulators’…
FCA Authorisation or Registration: Payment services providers, investment firms, most financial services companies and retail credit firms have to be Financial Conduct Authority (FCA) authorised.…
Regulatory Compliance: Underpinning better decision-making by making use of Effective Management information for conduct risk Regulatory Compliance: The conception of “conduct risk” has been elevated…
Regulatory Compliance: is an ambivalent function. On the one hand you are viewed as the regulators’ ally inside the investment company; overseeing the implementation of…
