Tag Archives: Fca Compliance Services

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compliance policies and procedures

Where Does Your Budget Go? When Engaging Consultants, Two Of The Major Expenses Are Idle Staff and Premises Most Consultancies have staff that are “Off-Project”, often for 25-30% of the year; but their salaries still need to be paid. Additionally, those prestigious, air conditioned offices with their staff and free coffee and biscuits all need […]

Questions To Ask [Important] – Regulatory Radar July 2017

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MiFID II Regulatory Pieces Are Falling Into Place With The FCA The final two pieces of UK legislation implementing MiFID II were laid before Parliament on 26th June which give the FCA powers to make certain of the changes to the handbook rules (such as the financial promotion rules) and to carry out certain administrative tasks […]