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…
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…
Setting up a business to work from London, UK, when you are an overseas entity can be daunting and is not for the feint-hearted, but…
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…
FCA Authorisation? Many firms ask the question whats does FCA authorised mean? They want to understand what FCA regulated activities would be involved if the…
Are Loan Market Funds For You? Cash funds are among the most popular money management tools. These financial investments are also touted as the safest…
FCA Authorisation: Financial services providers, investment company and consumer credit firms ought to be Financial Conduct Authority (FCA) authorised. FCA Authorisation: Here’s a summary of…
Effective Management Information for conduct risk Management Information: The conception of “conduct risk” has risen to the top of firms’ and regulators’ agendas in the last…
FCA Authorisation: Financial services providers, investment company and consumer credit firms ought to be Financial Conduct Authority (FCA) authorised. FCA Authorisation: Here’s a summary of…
