Securitization: Past, Present and Future (Palgrave Macmillan Studies in Banking and Financial Institutions)

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£86.00

August 2017 Offer

We all know that the summer months can be quiet for IFAs and what better time to get those awkward jobs dealt with?

At Compliance Consultant we also know that whether you are independent or restricted, there are a number of issues that need addressing.

“We are disappointed with the disclosure results with only 52.9% of sampled cases providing acceptable disclosure …….. further work is required by the sector”

The FCA stated in their report on “Suitability” in May  that “We are disappointed with the disclosure results with only 52.9% of sampled cases providing acceptable disclosure and further work is required by the sector to improve the initial disclosure (includes firm’s costs and services).”

Having met with the FCA Supervision Team (authors of the report) recently we have a good handle on what they mean and what they hoped to see already in place.

Additionally there was also a great deal of discussion around the suitability letter construction and what content should be included.

Regarding the Senior Managers & Certification Regime, (https://www.fca.org.uk/firms/senior-managers-certification-regime/solo-regulated-firms) we have already worked on this for banking groups and know what is involved, the final tweaks are awaited but

In the details released on 26th July 2017, the FCA said the requirements will include “responsibilities maps, handover procedures, and will need to make sure that there is a senior manager responsible for every area of their firm”.

This means that your procedures need to be identified, mapped and recorded with owners and relevant controls.

What We Are Offering

To Help You Ensure You Are Comfortable With Your Compliance Affairs, We Have Two Offers;

5 Days Work for the price of 4

If you have a piece of work that needs doing, we will arrange to provide 5 days service either at your work site or from a distance (typically report writing etc) at a 20% Discount if at least 5 days work is booked.

What Does This Mean?

This means simply whereby we would normally charge in the range of £650 to £850 for a days’ consultancy work, over a week that would be £3,250 to £4,250 – with our offer that is reduced to £2,600 to £3,400 and no VAT!

As An Extra

We Operate A “Benchmarking Audit” and that is on special offer until 4th August from £2,600 discounted to £2,080 with no VAT!

We can offer these discount ONLY FOR WORK BOOKED IN BY

5.00pm 4th AUGUST 2017

CLICK HERE to register your interest and get a copy of our

“Suitability Guide” absolutely Free!

Don’t want the guide? Need to talk to us straight away? Call 0203 815 7939 now!

 

ISC HCISPP Practice Test 2017

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£0.00

+) Lifetime access to all Practice Tests.
+) Lifetime access to the EXAM SIMULATOR.
+) Track all hardest and weakest questions automatically.
+) Track history on every exam taken and practice progress.
+) Lifetime support & updates when NEW learning material available.

Forced Compliance (The Galactic Outlaws Book 1)

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£0.99

Vampires had been extinct for thousands of years, or so we thought.

Captain Drake was the kind of smuggler that would take any job that needed to be done. That was as long as you had the credits and didn’t mess with his crew. Now one of those very crew members had been taken, and Drake would stop at nothing to find her.

Samantha Ripley only wanted one thing, she wanted to get off Hyperion Four. For the last four years, she had dedicated herself to nothing but flight school. Her graduation was so close she could almost taste it. A chance encounter as she finished her shift at the diner was going to change everything.

The two of them were separated by a universe of stars, but their lives would intersect like two colliding comets, and the results would shape the future of the verse itself.

When Firefly meets Underworld a new legacy is born.

Conduct Risk: It’s Not What You Do, It’s WHY You Do It

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£17.19

The aftermath of the financial disaster of 2008 sparked significant adjustments to the approach taken toward financial services regulation all over the world. Even though the immediate priorities involved stabilising and repairing firms’ balance sheets and implementing liquidity and capital reforms, the regulators’ attention and resources are currently centred around the behaviour of firms and exactly how they conduct their business. Although managing risks has accelerated, mitigating conduct risk has become one of the highest priorities for regulators worldwide, a universally agreed concise explanation conduct risk does not, as yet, exist. Perhaps Conduct Risk should be re-badged as “Culture Risk,” as it may be better understood by all, except that culture would be even more far reaching and encompassing tradition, customs, ways of life and all these things that form the background for operations of the financial services world. Conduct Risk is what it says on the tin, concerning the conduct not only of individuals acting solely or in collusion, but also supervisors, middle and senior management and firms as a collective in the identification of customer’s needs, providing real solutions, priced fairly and made available for all. Additionally firms need to be able to identify risk from products and practices that are on the regulatory radar such as forbearance in the mortgage market, product design and oversight in the asset management sector, or cross selling in full service or investment banking groups. The true measure of a successful conduct risk framework will be the risk-based assessment of the portfolio and scenario analysis, before adapting future product, service or distribution design and customer engagement strategies, taking action in relation to issues that arise before the regulators start to take notice. In response to changing regulatory expectations compliance and risk officers, as well as other senior managers at financial services firms are comin

Compliance (The Dust Chronicles)

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£4.84

2013 Winner-NJRW Golden Leaf Award for Young Adult Fiction For Glory, life inside the domed city is anything but safe. After rescuing her brother, Glory returns to Haven as a double agent to locate and save fellow Deviants. Far from her family, Glory faces danger at every turn as she trains to be a Compliance Officer-to track down and subdue her own kind-while she works undercover to rescue as many Deviants as she can. When people she trusts turn against her, Glory questions everything she believes and can no longer tell her allies from her enemies.

Matrix Nutrition Pure 1KG L-Glutamine Powder – Muscle Size & Strength – Recovery & Health.

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£21.99

Matrix L-Glutamine contains 100% pure glutamine, the most abundant amino acid in the human body involved in more regulatory reactions and metabolic processes than any other amino. Supplementing with glutamine is essential to preserve existing muscle and provide a firm foundation for new muscle mass development. Matrix Pure L-Glutamine will significantly accelerate recovery from intense physical training and enhance protein synthesis within skeletal muscle which improves your ability to develop lean muscle mass. In addition to this, L-Glutamine will reduce the feeling of delayed onset muscle soreness (DOMS) which helps you get back in the gym time after time even after tough sessions. Preserving & Developing Muscle:During exercise glutamine is rapidly depleted from the muscle due to its high involvement in numerous reactions, supplementing with glutamine is important to off-set these reductions and create an environment optimal for muscle development. Recovery:It is very common to find low levels of glutamine in overtrained athletes, although this doesn’t mean direct causality it is definitely an interesting factor. Health:Research shows that glutamine supplementation significantly reduces the risk of illness and infection.Matrix L-Glutamine contains 100% pure glutamine, the most abundant amino acid in the human body involved in more regulatory reactions and metabolic processes than any other amino. Supplementing with glutamine is essential to preserve existing muscle and provide a firm foundation for new muscle mass development.
Matrix Pure L-Glutamine will significantly accelerate recovery from intense physical training and enhance protein synthesis within skeletal muscle which improves your ability to develop lean muscle mass. In addition to this, L-Glutamine will reduce the feeling of delayed onset muscle soreness (DOMS) which helps you get back in the gym time after time even after tough sessions.
Preserving & Developing Muscle:During exercise glutamine is rapidly depleted from the muscle due to its high involvement in numerous reactions, supplementing with glutamine is important to off-set these reductions and create an environment optimal for muscle development.
Recovery:It is very common to find low levels of glutamine in overtrained athletes, although this doesn’t mean direct causality it is definitely an interesting factor.
Health:Research shows that glutamine supplementation significantly reduces the risk of illness and infection.

Liquidity Risk Management in Banks: Economic and Regulatory Issues (SpringerBriefs in Finance)

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£37.23

The recent turmoil on financial markets has made evident the importance of efficient liquidity risk management for the stability of banks. The measurement and management of liquidity risk must take into account economic factors such as the impact area, the timeframe of the analysis, the origin and the economic scenario in which the risk becomes manifest. Basel III, among other things, has introduced harmonized international minimum requirements and has developed global liquidity standards and supervisory monitoring procedures. The short book analyses the economic impact of the new regulation on profitability, on assets composition and business mix, on liabilities structure and replacement effects on banking and financial products.