Why are Reasonable Steps important? The introduction of reasonable steps under the Senior Managers & Certification Regime (SMCR) was driven by the regulators’ desire to…
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Q&A: The Investment Firm Prudential Regime (W) [accordion title=”Q&A: The Investment Firm Prudential Regime“] [accordion-item title=”What is IFPR; is it relevant to my firm?”] The…
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 – pre…
FCA 11 Principles for Business As we are all aware the FSMA requirements have been translated into the FCA’s Handbook of principles, rules and guidance.…
For many Compliance Officers and Managers, having a vision of providing the very best compliance service that is possible for their firm each and every…
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“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…
Protection of the most vulnerable is a sign of an advanced society, but not necessarily if it removes individual responsibility or deprecates the need for…