FCA Regulatory Assessment Audit Other Posts In This Series Business Risk Assessment Methodology Compliance Audit: What To Look For In Strategy Document Thoughts…
Board of Directors – Understanding and Further Training? Is it evident that the Directors understand:- Directors’ liabilities and corporate governance What is a company? What…
This post is to inform all new clients using Compliance Consultant, the FCA Authorisation Specialists, that from 1st January 2021 our rates will be increasing…
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Let’s face it: regulatory compliance is not a phrase that makes most companies happy when first encountered. After all, it usually comes with a host…
[layerslider id=”2″] Many Compliance Professionals find themselves in a similar position to Alex with no time and limited resource. We at www.complianceconsultant.org have provided solutions…
After Years Of White-labeling for The Big Firms, And Seeing Their Mistakes We Are Now Expanding Our Discrete and Confidential Projects For All Sizes…
Compliance Consultancy Compliance Consultant is one of the UK’s leading FCA compliance consultancies. We help financial services firms achieve FCA & PRA Authorisation, Manage their…
A compliance definition is difficult to obtain other than “We define compliance within our firm as the function of identifying relevant legislative, regulatory and best…
A common misconception is that the suitability report has to ‘round up’ the whole process, discussions and background information that has occurred to date. It…