What is an Asset Management Company (AMC)? Please be aware: This post has been updated by https://complianceconsultant.org/top-asset-management-companies-uk-2022-july/ An asset management company (AMC) is a firm…
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…
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FCA Regulatory Assessment Audit Introduction to FCA Audits Navigating the complex waters of the Financial Conduct Authority (FCA) regulations is no small…
The Importance of Good Management Information (MI) and Reporting The significance and requirement of excellent operational detail (volumes, speed, performance indicators, controls, tolerances etc.) are…
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…
Sometime people think that we are acting on behalf of the Financial Conduct Authority (FCA) and Financial Ombudsman Service (FOS). Compliance Consultant would like to…
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…
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…
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…
