Regulatory Compliance & Financial Services Online Courses Please Download Our Free Brochure – Just complete these few details! From only £139.99 per person per year…
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Compliance Consultant have re-launched their high speed website To get the word out, we have introduced a competition to the first 50 respondents in the…
A FCA Compliance Consultant is a professional Consultancy that helps businesses comply with regulations. They can help businesses to understand and comply with a range…
Direct FCA Authorisation for firms with us as compliance consultant specialists, assisting them in their project often raise the same types of Frequently Asked Questions…
“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…
SMCR and the inbuilt code of conduct rules are one of the strictest accountability codes of any industry with executives vulnerable to penalties including fines,…