Just 5% of advisers aware of PROD obligations – IRESS 70% unsure if they can fully comply Mark Loosmore: “Advisers need to take notice of…
Following the extension of the Senior Managers Regime 2018 (SMCR), the change from the current FCA Approved Persons Regimes (APER), the number of individuals on…
Where Does Your Budget Go? When Engaging Consultants, Two Of The Major Expenses Are Idle Staff and Premises Most Consultancies have staff that are “Off-Project”,…
FCA Authorisation? Just Quote The Coupon Code Below Whenever You Contact Us. For FCA Authorisation, AML Audit, Regulatory Rules Mapping, Governance Review or Any FCA/PRA…
The key point to processing personal data with GDPR on individuals is it must be justifiable to do so. There will need to be controls…
Lee Werrell, Chartered FCSI, CEO of Compliance Consultant, explores the changes to risk assessment and the basic principles of the independent compliance assessment benefits effected…
How Is Your Preparation Coming Along? [amazon_link asins=’1521309698,1849288356,1521536589,3319579584,1521522146,1522021140′ template=’ProductCarousel’ store=’digieboodown-21′ marketplace=’UK’ link_id=’57a9b58d-e491-11e7-8487-bb60a367ee6d’] The European Union’s General Data Protection Regulation (GDPR) comes into effect on 25…
A financial advice firm has been told to compensate a client who was not advised to protect his pension benefits before the lifetime allowance was…
What is an Insistent Client and how to deal with them. The FCA Handbook does not refer to insistent clients and there are no rules…
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