Whenever banks and financial institutions want to bring new customers on board, they make use of electronic AML checks online. They also have to consider…
What is an Asset Management Company (AMC)? An asset management company (AMC) is a firm that invests a pooled fund of capital on behalf of…
For many Compliance Officers and Managers, having a vision of providing the very best compliance service that is possible for their firm each and every…
Version control is important when documents are being created, and for any records that undergo a lot of revision and redrafting or annual reviews. It…
FCA Regulatory Assessment Audit Other Posts In This Series Business Risk Assessment Methodology Compliance Audit: What To Look For In Strategy Document Thoughts…
The Importance of Good Management Information (MI) The significance and requirement of excellent operational detail (volumes, speed, performance indicators, controls, tolerances etc.) are vital to…
What Can an Org Chart Show? Or, How To Read An Organisational Chart Even the traditional waterfall Org Chart can still communicate a lot about…
The UK Information Commissioner’s Office (“ICO”), has flexed its muscles and announced its intention to issue fines rising above ₤ 275 million against two international…
We have extensive experience in training senior managers and other staff who are subject to the SM&CR (SMCR) and we have developed a range of…
Bitcoin is the first blockchain based cryptocurrency and is the popular and most valuable one. The popularity of Bitcoin has given birth to hundreds of…