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…
Please Download Our Free Brochure – Just complete these few details!
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,…
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 Senior Managers & Certification Regime (SMCR) and Conduct Rules mark a new era for the UK’s beleaguered financial services industry. The new regime is…
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…