Please Download Our Free Brochure – Just complete these few details! From only £139.99 per person per year for over 200 courses.
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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…
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These are some of the Frequently Asked Questions about setting up a business and getting FCA Authorisation with us as compliance consultants, assisting them in…
The problem with most firms, whether they be IFAs, Stockbrokers, Payment Services or whatever sector, is that the Compliance Officer is treated unfairly, if they…
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,…