Why are Reasonable Steps important? The introduction of reasonable steps under the Senior Managers & Certification Regime (SMCR) was driven by the regulators’ desire to…
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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.…
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…
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…
The sixth anti-money laundering directive (6AMLD) is here. While there are fewer big changes than previous directives, 6AMLD brings clarity to specific regulatory details to…
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…
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…
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Committee Terms of Reference (TOR) WHAT ARE TERMS OF REFERENCE? DO YOU NEED THEM? Terms of Reference (TOR) form a foundation stone for the commencement…