Obviously financial misbehaviour comes under the guise of financial crime, fraud or embezzlement, but non-financial misbehaviour can come in lots of guises such as, discrimination,…
Block chain Technology Issues: 5 Ways to Overcome blockchain regulations & Crypto UK currency Payment Issues With the increased demand for new technological systems, there…
In Summer 2019, the FCA Issued A Dear CEO Letter To All Payment Companies Regarding Their Safeguarding Accounts and Their Management of Them. Nearly 4…
Reasonable Steps – What Are They? What are reasonable steps? The introduction of the SMCR statutory duty of responsibility (SDR) places the onus on Senior…
Cryptocurrency/cryptocurrencies: The world is unerringly moving towards a digital ecosystem Cryptocurrencies are a promising addition to that ecosystem providing unparalleled benefits to consumers and suppliers.…
Secure File Sharing for Business Broken Processes Manual business processes are expensive to resource from a human capital perspective but also rely on person-to-person communication,…
Sometime people think that we are acting on behalf of the Financial Conduct Authority (FCA) and Financial Ombudsman Service (FOS). Compliance Consultant would like to…
Your FCA Compliance Monitoring Plan This Annual Compliance Monitoring Plan is related to the risk register, which highlights the key risks to the business. In…
OK, So Why Should I Need A FCA Compliance Manual? For any Compliance Officer or SMF16 who has been in the UK financial services industry…
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