Compliance Consultant are proud to provide a course suitable for new FCA Authorisation Applicants or anyone applying for a senior management position in an existing…
Compliance Pain Points Q&A If you need any assistance, in strictest confidence, call us today on 0800 869 0190 or email info@complianceconsultant.org
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…
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…
We offer a Premium Access Retainer Service Providing Your Firm With Fast, Accurate, Experience Based Quality Answers So You Can Move Ahead With Your Business…
So What Are The Ongoing Requirements After FCA Authorisation? There are a number of areas that firms should pay attention to and be accurate in…
A Regulatory Business Plan (RPB) Is Your Showcase To Demonstrate Understanding & Forethought. The RBP should demonstrate that the targets set by the candidate are…
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…
Just 5% of advisers aware of PROD obligations – IRESS 70% unsure if they can fully comply Mark Loosmore: “Advisers need to take notice of…
Following the extension of the Senior Managers Regime 2018 (SMCR), the change from the current FCA Approved Persons Regimes (APER), the number of individuals on…