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…
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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…
The SMCR Code of Conduct is freely available on the FCA Website, biut how did it come about? What’s the history of the SMCR and…
Business conduct is in a bright and unforgiving spotlight. Treating Customers Fairly is not dead, it compliments the Conduct Risk agenda. Although much has been…
Practical fraud prevention training for regulated firms and financial services teams. What Makes Compliance Consultant Courses Different We’ve delivered compliance, risk and financial crime…
Practical, FCA-focused training to help teams make consistent SAR decisions, avoid “defensive SARs”, and strengthen adverse media screening using a clear, risk-based methodology. Subject Access…
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…
Conflicts Of Interest – A Practical Guide & Workshop A 1 Day Course – remote The FCA Requirements, Ethical & Best Practice Guidelines What Makes…
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…
