Category Archives: Remedial Compliance Risk Management

Rocket Science? Not really!

remedial compliance sales process smcr ifa kyc questions

Quite simply put, if you are in sales, there is no way you should recommend anything to your client’s unless you can prefix it with “… because you said X and Y and Z, I recommend ABC …”

Can You Really Afford Generic Ongoing Compliance Support? Th…

Can You Really Afford Generic Ongoing Compliance Support? The issue with a lot of companies, whether they be IFAs, Stockbrokers, Payment Services or whatever market, is that the Compliance Officer is dealt with unjustly, if they are running the compliance department as a part of their task. You can hire a conformity supervisor (or group) […]

Can You Really Afford Generic Ongoing Compliance Support?

The problem with most firms, whether they be IFAs, Stockbrokers, Payment Services or whatever sector, is that the Compliance Officer is treated unfairly, if they are running the compliance function as a component of their job. Whether they are advising, trading or operate the financial side of the business, unlike 10 or even 5 years […]

Can You Really Afford Generic Ongoing Compliance Support?

Compliance is an ambivalent function. On the one hand you are viewed as the regulators’ ally inside the investment firm; overseeing the implementation of their regulation. Meanwhile, you are paid by the investment company and a component of their culture and hierarchy. You might say ‘front office’ (traders making the money) considers compliance the way […]

Brand-new FCA suggestions on operational and security risk management by Payment Services Providers (PSPs)

During March 2018, the FCA released its consultation paper (CP18/6) on its proposed approach to the application of the European Banking Authority’s (EBAs) final guidelines on security strategies for operational and security risks of payments services under PSD2.

Employing Effective Management Information for Conduct Risk

Underpinning better decision-making by employing Effective Management information for conduct risk 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 expects conduct risk management as being implanted into firms’ risk management frameworks, promoted by proper management information (MI). Developing […]

Do You Really Want To Afford Generic Ongoing Compliance Support?

Compliance is an ambivalent function. On the one hand you are viewed as the regulators’ ally inside the investment company; overseeing the implementation of their regulation. Conversely, you are paid by the investment firm and a part of their culture and hierarchy. You might say ‘front office’ (traders making the cash) considers compliance the way […]

Fee Proposals – Honest & Transparent

We recognise that value for money is a pre-requisite for all business expenditure. Professional fees are no exception. We have the following values, to which we adhere; Fairness – we don’t judge Sound recommendations (with evidence to support) Long Term plans/strategy Excellence in Primary & Remedial care Serving you as an individual and respecting your […]

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) […]

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 […]