The UK is among the world’s largest and most open economies, whose strength is based on extensive and productive relationships around the world. Government Ministers…
Conflicts Of Interest – A Practical Guide & Workshop A 1 Day Course – remote The FCA Requirements, Ethical & Best Practice Guidelines What Makes…
The FCA is tightening up its individual conduct rules, replacing the current Approved Persons Regime with the Senior Managers and Certification Regime (SMCR). SMCR regulation…
This half-day workshop focuses on how PSD2 Regulatory Technical Standards (RTS) and Strong Customer Authentication (SCA) apply in real operational environments, including exemptions, transaction risk…
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…
SMCR is one of the strictest accountability codes of any industry with executives vulnerable to penalties, including jail, for failings beneath their oversight.
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…
The philosophy of “conduct risk” has bubbled to the top of firms’ and regulators’ agendas in the last few years. In the UK, the FCA…
FCA Authorisation?: It may seem a little trite to compare submitting an authorisation to a magic trick, however, many firms do just that. If you…
