FCA Authorisation: We manage your regulatory application to the UK’s Financial Conduct Authority (FCA) by setting out a project plan, guiding you through the process…
SMCR is one of the strictest accountability codes of any industry with executives vulnerable to penalties, including jail, for failings beneath their oversight.
This post summarises the steps which core and limited scope and enhanced firms are likely to have to take in order to adhere to the…
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…
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…
http://fca-compliance-risk-assessment-fully-editable-template-manual.co.uk OK, So Why Should I Need A Compliance Manual? For any Compliance Officer, Compliance Manager or CF10/SMF16 who has been in the UK…
FCA Regulatory Compliance: Employing a 3rd Party Outsourcer is a huge move, exactly like consenting to manage an Appointed Representative. This fca regulatory compliance article…
