In today’s high-tech world the Anti-Money Laundering and Counter Terrorist Financing rules are continually raising their head. The role of the MLRO has become increasingly…
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…
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…
Regulatory Services For Regulated Firms including Past Business Reviews If you know of anyone that is looking for; Specialist Regulatory Support; File Checking – pre…
FCA 11 Principles for Business As we are all aware the FSMA requirements have been translated into the FCA’s Handbook of principles, rules and guidance.…
“Everyone knows the strategy to remain compliant, but they often fall down or lapse the key tactics needed to keep up to date. with the…
Protection of the most vulnerable is a sign of an advanced society, but not necessarily if it removes individual responsibility or deprecates the need for…
Training & Competence FCA style – T&C The importance of this section cannot be under stated. Due to the changes in this area and post-Brexit…
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 Fine? You may be in good company! Penalties for regulatory compliance breaches can be eye-watering in scale. This is the failure side of compliance…