Consumer Duty Guide – FREE The Financial Conduct Authority’s (FCA’s) recent multi-firm review served as a stark reminder to boards that the ‘Consumer Duty’ should…
OK, So Why Should I Need A FCA Compliance Manual? For any Compliance Officer or SMF16 who has been in the UK financial services industry…
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So What Are The Ongoing Requirements After FCA Authorisation? There are a number of areas that firms should pay attention to and be accurate in…
Lee Werrell, Chartered FCSI and owner of Compliance Consultant states, “As with all good compliance; it’s not what you do, it’s what you wrote down…
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…
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…
Over Qualified? Too Senior? The Role Is For A More Junior Person. Ring Any Bells? We know what they mean. They think you are too…