Helping you obtain FCA Authorisation We can assist you with your FCA authorisation application from beginning to end We have aided hundreds of UK financial…
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 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…
Where Does Your Budget Go? When Engaging Consultants, Two Of The Major Expenses Are Idle Staff and Premises Most Consultancies have staff that are “Off-Project”,…
For FCA Authorisation, AML Audit, Regulatory Rules Mapping, Governance Review or Any FCA/PRA Regulatory Governance, Risk or Compliance (GRC) Project For Financial Services In The…
Lee Werrell, Chartered FCSI, CEO of Compliance Consultant, explores the changes to risk assessment and the basic principles of the independent compliance assessment benefits effected…
How Is Your Preparation Coming Along? [amazon_link asins=’1521309698,1849288356,1521536589,3319579584,1521522146,1522021140′ template=’ProductCarousel’ store=’digieboodown-21′ marketplace=’UK’ link_id=’57a9b58d-e491-11e7-8487-bb60a367ee6d’] The European Union’s General Data Protection Regulation (GDPR) comes into effect on 25…
A financial advice firm has been told to compensate a client who was not advised to protect his pension benefits before the lifetime allowance was…
