Category Archives: Independent Financial Adviser

MIFID II What Compliance Wealth Managers & Advisers Need To Get In Place

MiFID II finally comes into effect on 3 January 2018 Although there may still be some grey areas, it is time to make sure you have your compliance arrangements in place or being progressed so that there are no nasty surprises. Get a PDF of this post from this link (right click and “download as…”) […]

From FCA Authorisations to SMCR And Beyond – We Do It All

Keywords: Regulatory Compliance And Governance, Regulatory Compliance Best Practices, Regulatory Compliance Banking Industry, Regulatory Compliance Consultant, Regulatory Compliance Consulting Firms, Regulatory Compliance Experience, Regulatory Compliance Financial Services, Regulatory Compliance Firms, Regulatory Compliance In Banking, Regulatory Compliance Program

Money Laundering Regulations 2017 Changes

As you know, the 26 June 2017 saw the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (“MLR 2017”) came into force, having been made, laid before Parliament and approved all on 22 June 2017. Regulated businesses are now faced with the inestimable task of ensuring both their firm-wide […]

What the FCA found when it did a Suitability Assessment of the IFA Sector in 2017

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The Independent Financial Advice (IFA) sector was given a clean bill of health by the FCA in May 2017. Or was it? A suitability review of 1,142 separate pieces of advice given by 656 firms against the rules in the Conduct of Business sourcebook showed that in 93.1% of cases, advice provided was suitable. Interestingly […]

Corporate Financial Services Regulatory Compliance Enquiry Form

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Many people often tell us that they are not sure what we do. If you have a UK Financial Services Regulatory Compliance Risk Support enquiry then contact us. If you have a quite already – we will guarantee to beat it by at least 5%.

FCA Authorisation: What Does It Cost And Why Compliance Consultant Is Your Best Option

Many firms are seeking Financial Conduct Authority (FCA) Authorisation these days and we have heard horror stories of
the amount charged by some companies. Call us today on 020 3815 7939

The Responsibility of Compliance Directors Is Growing And It Is Vital They Have Their Finger On The Pulse.

The Responsibility of Compliance Directors Is Growing And It Is Vital They Have Their Finger On The Pulse.

Essential Strategies for Financial Services Compliance

buy now £27.64 Introduction by Lee Werrell – Owner of this site! A fully updated edition of the definitive guide to financial regulation In recent years, not only has the compliance field become firmly established, but it has seen staggering growth, thanks to never-ending changes in the regulatory environment. As regulation increases still further, the […]

Operational Risk Management in Banks: Regulatory, Organisational and Strategic Issues (Palgrave Macmillan Studies in Banking and Financial Institutions)

buy now £86.00 Operational Risk Management Framework, Operational Risk Management Usmc, Operational Risk Management Banking, Operational Risk Management Committee Charter