As FCA Compliance Consultants we are always being asked to conduct Compliance Health-checks or Compliance Audits. A compliance health-check or compliance audit is one of…
Critical to any FCA Authorised or registered firm is the risk based compliance monitoring plan and FCA Compliance Manual. Financial services compliance monitoring has to…
Our Non-Disclosure Agreement Template There are, in fact, very few secrets in the City of London however, we do not blab to anyone about anything…
A Regulatory Business Plan (RPB) Is Your Showcase To Demonstrate Understanding & Forethought. The FCA/PRA Regulatory Business Plan should demonstrate that the targets set by…
The extension of the SMCR to FCA solo-regulated firms affects over 45,000 financial companies. Do you know how the extension of the Senior Managers and…
Business conduct is in a bright and unforgiving spotlight. Treating Customers Fairly is not dead, it compliments the Conduct Risk agenda. Although much has been…
Conflicts of Interest Course Outline Complete the form below to contact us! What Makes Compliance Consultant Courses Different We have been delivering training for…
Working with Claims Management Companies CMCs in recent days, we can provide a Compliance Procedures Manual (around 100 pages) and Financial Crime Policy quickly.
Practical, FCA-focused training to help teams make consistent SAR decisions, avoid “defensive SARs”, and strengthen adverse media screening using a clear, risk-based methodology. Subject Access…
Quite simply put, if you are in sales, there is no way you should recommend anything to your client’s unless you can prefix it with…
