Tag Archives: compliance regulations

UK Regulatory Financial Services Compliance Specialist Services Provider ref PRA & FCA

compliance meaning-compliance officer-compliance definition-compliance compliance consultancy services

A compliance definition is difficult to obtain other than “We define compliance within our firm as the function of identifying relevant legislative, regulatory and best practice requirements and then implementing the required changes to our systems and controls to facilitate adherence to these obligations on an ongoing basis.” However, every firm needs external perspective and […]

Compliance Consultant Success – Another Progressive Client Joins Our Fold

Because of our strict use of NDAs, we can’t say who, but they know!  

2017 New Client Questionnaire – Compliance, Risk management & Governance


Ask Anytime Service for SMEs

“Who Else Wants To Have Compliance Answers – Fast .” Dear Friend, My name is Lee Werrell. You may or may not have heard of me. Either way I think it’s important to know I’ve just created a brand new Service to IFAs and Wealth Managers filled with secrets that will completely change the face […]

Finally, A Regulatory Compliance Solution That Can Help Grow Your Business

Businesses making an application for regulatory authorisation can often face an uphill struggle, insomuch as it is a process which complex and sometimes tedious. In many cases, when it comes to compliance, business face the challenge of not understanding a number of the terminologies which are used, or the interpretation the regulator adopts for specific […]

FCA Supervision and Prudential Categories

The FCA objectives The FCA has an overarching strategic objective to ensure that the relevant markets function well. This is embodied in our three operational objectives: to secure an appropriate degree of protection for consumers to protect and enhance the integrity of the UK financial system to promote effective competition in the interests of consumers These […]

S166 Skilled Person’s Report Guide For Senior Managers

If Your Firm Gets Ordered To Start A S166 Skilled Person’s Report, What Does It Mean? Can It Be Avoided?