THE IMPORTANCE OF AUTHORISATION Authorisation is one of the key techniques used by the FCA to regulate financial services. It attempts to efficiently identify and…
It may seem a little trite to compare submitting an authorisation to a magic trick, however, many firms do just that. If you are under…
At last! A site that helps you understand differences between an FCA Authorised Person. FCA Approved Person and the FCA Regulated Activities involved. Also helps…
It may well sound worn-out, to compare submitting an authorisation to a magic trick, Nevertheless if you are under any illusion that less-than-perfect preparation suffices,…
It might possibly appear run-of-the-mill, to compare making an application for authorisation to a magic trick, However if you are under any impression that less-than-perfect…
Claims management companies (CMCs), known in the financial services compliance business as “Ambulance Chasers” will must come up with over ₤ 7m in 2019 to…
Claims management companies (CMCs), known in the financial services compliance business as “Ambulance Chasers” will have to stump up over a cool ₤ 7m next…
The changes made to the FCA’s complaint handling rules (appearing inthe FCA Handbook – DISP)in June 2016 are well documented and should have been embedded…
Compliance is an ambivalent function. On the one hand you are viewed as the regulators’ ally inside the investment company; overseeing the implementation of their…
The alterations made to the FCA’s complaint handling rules in June 2016 are well documented. In conclusion: The ‘next business day rule’ has been extended…