Monthly Archives: June 2016

Senior Manager’s Regime: Best Practices To effectively manage product governance together with the product lifecycle

Whatever Way You Look At It …. It Is A Tough Nut To Crack Throughout the original journey to the FCA, the transfer of focus was distinctly from being a reactive to a proactive approach. The regulator is in fact attempting to stop customer detriment before it takes place where possible. A vital element of […]

The Coffee (or Tea) Is On Us!

Do You Need Assistance For UK Compliance Projects? Got extra Compliance or Risk Project Work But No Resource? Have a Restricted Budget? Compliance Consultant is a niche Compliance Consultancy, we work with select clients at a time. As our new year approaches, we are looking to interview clients on a casual basis, typically away from the normal […]

Bank Of England Building Sold For Luxury Retirement Apartments?

BlockChain Technology is frightening; actually frighteningly transparent. This in itself is not enough to combat money laundering or terrorist financing, but the beauty lies within the procedure of “BlockChain Technology” and it becomes almost impossible to conspire to defraud. Many people around the meeting rooms and after work meeting places in the city talk about […]

Paving The Way For MiFID II

Preparation For MiFID II What is MiFID II? MiFID II is the second casting of the Markets in Financial Instruments Directive issued by the European Commission and is due to come into force in January 2018. The aim of the new legislation, together with the accompanying Regulation on markets in financial instruments (MiFIR), is to […]

Is Your Firm A Digital Dinosaur?

Many Financial Advisers & Wealth Managers Are Kidding Themselves That Their Client’s Don’t Want Digital Communications Or Tools To Manage Their Affairs. A Report From One Of The Big Four Bears Out The Facts That Many Are Dinosaurs In A Digital Age The report is entitled ‘Sink or swim: why wealth management can’t afford to […]