Category Archives: Products & Services

Claims Management Companies Need To Be FCA Regulated

Claims management companies (CMCs), known in the financial services compliance business as “Ambulance Chasers”must summon more than ₤ 7m next year to set up a compliant scheme to adequately satisfy the regulator the sector, the Financial Conduct Authority (FCA) has revealed. The sum to be paid in 2019-20, if accurate, is 42% of the total […]

Can You Really Afford Generic Ongoing Compliance Support?

Compliance Consultants, London and Nationwide Compliance is an ambivalent function. On the one hand you are seen as the regulators’ ally inside the investment firm; overseeing the implementation of their regulation. Meanwhile, you are paid by the investment firm and part of their culture and hierarchy. You might say ‘front office’ (traders making the money) […]

Exactly how do I eventually become FCA authorised?

How do I come to be FCA authorised? You want to satisfy the Threshold Conditions, which are the FCA’s minimum standards for getting, and remaining, authorised; see below. The operation of applying for authorisation requires the appropriate completion and submission of particular recommended forms: An applicant for Part 4A Permission, other than in so far […]

The Best London FCA Authorisation Consultants Today – Authorised or Approved Persons?

What are FCA Authorised Persons and FCA Approved Persons? Authorised Persons ( applying section 31 of the Financial Services & Markets Act [FSMA] defines Authorised persons) as just one of the following: ( a) a person who has a Part 4A permission to carry on one or more regulated activities; ( b) an incoming EEA […]

No Smoke & Mirrors With Our Compliance Consultancy Services

No Smoke & Mirrors With Us  Offering double discount on consultancy work for regulated financial services companies. We normally guarantee to beat any Like-4-Like quote by at least 5% this has now doubled for work commencing January & February 2019! T&C’s Apply – ask for details. info@complianceconsultant.org or call 0207 097 1434. Compliance Consultancy […]

Can Compliance Really Make Or Break Your Company’s Reputation?

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For many in the C-suite, regulatory compliance is something they understand is very important yet do not deeply comprehend. Regulation and its compliance is frequently deemed a necessary evil that can hinder profitable and straightforward company, yet conformity is vital to your product or service’s success. Having strong compliance officers on the team to see […]

Top Compliance Consulting Firms London – FCA Regulations

Compliance Consultancy Services The global financial services sector undergoes intensifying scrutiny and oversight, with the cost of making errors developing into higher, both financially and impacting on reputation. New regulations, including AIFMD, MiFID II, GDPR & PSD2 are impacting firms on a regional and international level, requiring firms to remain observant of all legislation and […]

Compliance Consulting Firms – Compliance Consultant

Compliance Consultancy Services The global financial services business is subject to escalating scrutiny and oversight, with the cost of making miscalculations ending up being higher, both financially and impacting on reputation. New rules, such as AIFMD, MiFID II, GDPR, SMCR & PSD2 are impacting firms on a local and world-wide level, demanding firms to remain […]

SM&CR Checklist – Senior Managers and Certification Regime

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Advisers Miss the new PROD Rules – Quoted Post

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Just 5% of advisers aware of PROD obligations – IRESS 70% unsure if they can fully comply Mark Loosmore: “Advisers need to take notice of PROD. It is no longer guidance – it is rules based now.” Tom Ellis @tellisthenews 30 August 2018 Full Article at https://www.professionaladviser.com/professional-adviser/news/3061700/just-5-of-advisers-aware-of-prod-obligations-iress Just one-in-20 (5%) advisers are aware of their […]