Sometime people think that we are acting on behalf of the Financial Conduct Authority (FCA) and Financial Ombudsman Service (FOS). Compliance Consultant would like to…
On ALL NEW FCA AUTHORISATIONS OR REGISTRATIONS starting from 7th July 2020 and for the rest of the 2020 year we will donate 3% of…
OK, So Why Should I Need A Compliance Manual? For any Compliance Officer or SMF16 who has been in the UK financial services industry for…
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A Word About Tokens – An FCA Perspective The key thing to note is that any token that is not a security token, or an…
So What Are The Ongoing Requirements After FCA Authorisation? There are a number of areas that firms should pay attention to and be accurate in…
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Quite simply put, if you are in sales, there is no way you should recommend anything to your client’s unless you can prefix it with…