“What is Ongoing Compliance Support”? The problem with most firms, whether they be IFAs, Stockbrokers, Payment Services or whatever sector, is that the Compliance Officer…
Compliance is an ambivalent function. On the one hand you are viewed as the regulators’ ally inside the investment firm; overseeing the implementation of their…
During March 2018, the FCA released its consultation paper (CP18/6) on its proposed approach to the application of the European Banking Authority’s (EBAs) final guidelines…
Underpinning better decision-making by employing Effective Management information for conduct risk The philosophy of “conduct risk” has bubbled to the top of firms’ and regulators’…
We recognise that value for money is a pre-requisite for all business expenditure. Professional fees are no exception. We have the following values, to which…
Compliance Consultants, London and Nationwide Compliance is an ambivalent function. On the one hand you are seen as the regulators’ ally inside the investment firm;…
Strategic risk management is a crucial but often overlooked aspect of enterprise risk management (ERM). While ERM has traditionally focused on financial and, more recently,…
No Smoke & Mirrors With Us Offering double discount on consultancy work for regulated financial services companies. We normally guarantee to beat any Like-4-Like…
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”,…