In today’s busy world, firms like yours require a swift, flexible, supporting and active response regulatory consultancy service, which will specifically include a broad array…
Compliance Health-checks A compliance health-check or compliance audit is one of the most common services that we provide to our clients. A health-check is different…
Critical to any FCA Authorised or registered firm is the risk based compliance monitoring plan and FCA Compliance Manual. Financial services compliance monitoring has to…
Compliance monitoring Compliance monitoring helps you understand the risks in your business. Done well, it can help you pinpoint weaknesses in controls and provide comfort…
What is compliance monitoring? Compliance monitoring is the quality assurance testing carried out over the day to day activities of the business. The compliance monitoring…
Critical to any FCA Authorised or registered firm is the risk based compliance monitoring plan and FCA Compliance Manual. Financial services compliance monitoring plan has…
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 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…