Category Archives: Compliant Business Management

Can You Really Afford Generic Ongoing Compliance Support? Th…

Can You Really Afford Generic Ongoing Compliance Support? The issue with a lot of companies, whether they be IFAs, Stockbrokers, Payment Services or whatever market, is that the Compliance Officer is dealt with unjustly, if they are running the compliance department as a part of their task. You can hire a conformity supervisor (or group) […]

KYC and AML – Suitable for all firms with AML responsibilities

The UK is among the world’s largest and most open economies, whose strength is based on extensive and productive relationships around the world. Government Ministers have the responsibility for national security and financial services, so they want the UK to continue to be a desirable country for legitimate business and a leading global financial centre. But they also recognise that the UK’s openness and standing as a global financial centre exposes it to the risk of illicit financial flows.

AML – New Entrant Programme – Suitable for all firms with AML responsibilities, i.e. Estate Agents etc

The UK is one of the world’s largest and most open economies, whose strength is built on extensive and productive relationships across the globe. Ministers have the responsibility for national security and financial services, so they want the UK to continue to be an attractive country for legitimate business and a leading global financial centre. But they also recognise that the UK’s openness and status as a global financial centre exposes it to the risk of illicit financial flows.

SMCR Project Plan – Buy The Product

Extension of the SMCR to all financial services firms As we all know, the Treasury has directed the FCA to extend the Senior Managers & Certification Regime (SMCR) to all financial services firms in the UK. Many firms have still not started to prepare for their SMCR deadline of 9th December 2019.  Jonathan Davidson, Executive […]

Senior Managers Regime Explained

The FCA is tightening up its individual conduct rules, replacing the current Approved Persons Regime with the Senior Managers and Certification Regime (SMCR). SMCR regulation is complex and so in this SMCR guide course we explain the changes to the FCA Handbook and what you need to do to comply. You also have the opportunity of purchasing our SMCR 90+ Project Plan with a 50% discount.

PSD2 Regulatory Technical Standards – A Practical Guide

PSD2 Regulatory Technical Standards – A Practical Guide & Workshop A ½ Day Course The PSD2 Requirements for SCA from September 2019 onwards   What Makes This Course Different? We have been delivering training for over 20 years and this is one of our core competencies. We believe we are experts on this topic and […]

SFTR NOW – Securities & Financing Transaction Reporting Final Countdown

SFTR Transaction Reporting- A Practical Guide A ½ Day Course   ESMA Technical Standards and Requirements. What Makes This Course Different? We have been delivering training for over 20 years and this is one of our core competencies. We believe we are experts on this topic and having delivered training to a wide range of […]

The SMCR 2019 Project Plan to End of 2019

As we all know, the Treasury has directed the FCA to extend the Senior Managers & Certification Regime (SMCR) to all financial services firms in the UK. Many firms have still not started to prepare for their SMCR deadline of 9th December 2019. We have created a 90+ point project plan for all firms, where we can conduct the entire project for you or you can buy our plan and conduct it yourself.

Making Compliance Work: A Short Overview of Board Minutes

Lee Werrell, Chartered FCSI and owner of Compliance Consultant states, “As with all good compliance; it’s not what you do, it’s what you wrote down that you did and why”.

What Is The SMCR Implementation Time Scale

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Concerning the SMCR for remaining FCA authorised firms under FSMA Authorisation The largest challenge for the remaining FCA authorised firms under FSMA, who will need to execute changes to obey all components of SMCR is time scale. The larger organisations who will undergo the enhanced regime must not miscalculate the time and energy necessitated to […]