The changes made to the FCA’s complaint handling rules in June 2016 are well documented and should be adopted by every financial services firm buy…
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…
Compliance is an ambivalent function. On the one hand you are considered as the regulators’ ally inside the investment firm; overseeing the implementation of their…
It might sound trite, to compare making an application for authorisation to a magic trick, Yet if you are under any impression that less-than-perfect preparation…
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;…
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,…
What are FCA Authorised Persons and FCA Approved Persons? Authorised Persons ( applying section 31 of the Financial Services & Markets Act [FSMA] defines Authorised…
Compliance Consulting The global financial services business is subject to increasing scrutiny and oversight, with the cost of making miscalculations emerging as higher, both financially…
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…
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,…