Category Archives: Independent Financial Adviser

GDPR – Why You Need To Know

If You Would Like To See The Script – Please go to http://www.complianceconsultant.org/gdpr-compliance-video-script/ Internal Links from video Policies available at http://fcaapplicationgovernance.com or http://www.complianceconsultant.org/products/ Governance Review http://bit.ly/GovRev Template Compliance Manual http://goo.gl/fxAhgA Compliance Healthcheck Video https://youtu.be/z_hSI9tLCVI

GDPR Compliance – Video Script

 Watch Vide Here https://youtu.be/03QHyulelYY Please copy and paste this script for your use General Data Protection Regulation (GDPR) Hello, My Name is Lee Werrell, I am the owner of Compliance Consultant, The UK’s Leading Remedial Compliance Consultancy for Financial Services. Many of the GDPR’s main concepts and principles are much the same as those in […]

2017 New Client Questionnaire – Compliance, Risk management & Governance

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Is Your Compliance Team Failing To Prepare Senior Management For The Future?

The Financial Conduct Authority will put firms senior managers “through their paces” with the introduction of the Senior Manager’s Regime in 2018, … … and regulatory professionals need to ensure that the board takes its compliance responsibilities seriously“, the owner of “Compliance Consultant“, Lee Werrell has warned. “Although the industry had yet to see the […]

FCA tells firms to revisit past advice after suitability review

FCA tells firms to revisit past advice after suitability review The Financial Conduct Authority (FCA) has said firms should revisit advice given in the past after it found unacceptable examples of suitability reports as part of a review which involved 700 firms. In April 2016 the FCA started the review when it asked firms for […]

Remedial Compliance: Define Compliance Or Compliance Risk

At Compliance Consultant we get a number of enquiries every month concerning new applications for Authorisation regarding the Part IV permissions needed and the role of Compliance in the application process and beyond. There is often a misunderstanding about the role of compliance consultants and the internal role of compliance functions, so we thought we […]