Sometimes, Authorisation Is NOT The Answer We are often approached by start-ups and individuals who want to get FCA authorisation but who have little or…
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A solution to meet MiFID II face to face note taking requirements For 10 years VoiceNotes has been providing a secure, high-quality transcription service to…
The Financial Conduct Authority’s skilled persons reviews (s166) cost regulated firms £110.1 million in the year to 31 March 2017 By Selin Bucak05 Jul, 2017 Revealing…
Are Firm’s Managing Complaints Efficiently And Learning The Lessons From ALL Complaints, Not Just Cherry Picking The Juicy Ones To Report? The changes made to…
CREATION OF THE OFFICE FOR PROFESSIONAL BODY ANTI-MONEY LAUNDERING SUPERVISION (OPBAS) BACKGROUND On the 15th March 2017, the UK Government announced the creation of a…
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A common misconception is that the suitability report has to ‘round up’ the whole process, discussions and background information that has occurred to date. It…
Hello fellow professional From the 26th of June 2017, the new UK Money Laundering Regulations 2017 (“MLR17”) came into force placing new legal and regulatory…