Reasonable Steps – What Are They? What are reasonable steps? The introduction of the SMCR statutory duty of responsibility (SDR) places the onus on Senior…
Your FCA Compliance Monitoring Plan This Annual Compliance Monitoring Plan is related to the risk register, which highlights the key risks to the business. In…
We offer a Premium Access Retainer Service Providing Your Firm With Fast, Accurate, Experience Based Quality Answers So You Can Move Ahead With Your Business…
Risk Management framework is an often overlooked or, even, misapplied process. Often seen as a tick the box exercise by many of the smaller thinking…
Risk Management is an often overlooked or, even, misapplied process. Often seen as a tick the box exercise by many of the smaller thinking financial…
The UK Information Commissioner’s Office (“ICO”), has flexed its muscles and announced its intention to issue fines rising above ₤ 275 million against two international…
All financial services firms experience the same hurdle as virtually any other new business: how to influence investors and lenders that your business has a…
Working with Claims Management Companies CMCs in recent days, we can provide a Compliance Procedures Manual (around 100 pages) and Financial Crime Policy quickly.
Deep in the heart of your company’s network directories are in all likelihood to be a variety of vital documents. These documents could well save…
The philosophy of “conduct risk” has bubbled to the top of firms’ and regulators’ agendas in the last few years. In the UK, the FCA…