Governance, Risk & Compliance Frameworks Why is governance risk and compliance important? To ensure that businesses protect their information, have consistent cohesion departmentally, and follow…
Compliant FCA Financial Promotions – Advertising When it comes to financial promotions, any regulated business should know that it’s not just the end result that’s…
Board of Directors – Understanding and Further Training? What does the Board of Directors do? It provides leadership of the organisation within a framework of prudent…
The Duty of Responsibility. Every Senior Manager has a Duty of Responsibility under the Financial Services and Markets Act 2000, which means that if a…
SMCR Reasonable Steps Have To Be Evidenced Get an Independent assessment of your steps – Today! What are reasonable steps? The introduction of the…
The Importance of Good Management Information (MI) and Reporting The significance and requirement of excellent operational detail (volumes, speed, performance indicators, controls, tolerances etc.) are…
Compliance Annual Reporting Annual Compliance Report Providing a written annual compliance report to board of directors in respect of compliance on an at least annual…
The FCA’s complaint handling requirements and the Financial Ombudsman Service (FOS). The FOS is an independent adjudicator of consumer complaints linked to the supply of…
AGM or Business Plan Template Document. “If you can’t see where you’re going, you surely aren’t going to get there.” That’s why you need a…
Many cryptoasset firms have had their applications rejected or recommended to withdraw due to a poor standard of completion. FCA cryptocurrency registration is akin to…