Category Archives: Uncategorized

Complaints Management Companies (CMC) Compliance Procedures and Financial Crime Policy

Original Post: 12th April 2019. Updated: 7th August 2019. Complaints Management Companies will need to provide to the FCA, when and if asked, Compliance Procedures and Financial Crime policies. We have worked with a number of CMCs and have created the following for your use. Contents Compliance Procedures Manual – Around 92 pages 1. Introduction […]

Conflicts Of Interest Training course

Conflicts of Interest Course Outline Complete the form below to contact us!   What Makes Compliance Consultant Courses Different We have been delivering training for over 20 years and this is one of our core competencies. We believe we are experts on this topic and having delivered training to a wide range of firms and […]

Libra: Facebook’s Bitcoin Offering

Technology has upgraded the world around us, it is easy to send texts, graphics and files but why not money. Supposing we made the money truly global, stable, and secure. Supposing everyone has invited to the Global economy with access to the same financial possibilities. This thought laid a pavement for introducing LIBRA a new […]

SMCR Project Plan – Buy The Product

Extension of the SMCR to all financial services firms As we all know, the Treasury has directed the FCA to extend the Senior Managers & Certification Regime (SMCR) to all financial services firms in the UK. Many firms have still not started to prepare for their SMCR deadline of 9th December 2019.  Jonathan Davidson, Executive […]

SMCR Regulation and Guide For Implementation

The FCA is tightening up its individual conduct rules, replacing the current Approved Persons Regime with the Senior Managers and Certification Regime (SMCR). SMCR regulation is complex and so in this SMCR guide course we explain the changes to the FCA Handbook and what you need to do to comply, including build your own project plan. You also have the opportunity of purchasing our SMCR 90+ Project Plan with a 50% discount.