Tag Archives: risk analysis

The Myths Around Suitability Reports And How To Be A Hero

A common misconception is that the suitability report has to ‘round up’ the whole process, discussions and background information that has occurred to date. It doesn’t. It simply forms part of the process of telling the story and, from a compliance perspective, will be read in conjunction with the rest of the data and information […]

Compliance Consultant confidentiality assured

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We Hear Many Secrets, Confidences & Sensitive Information In Coffee And Sandwich Shops Where Junior Consultants Are Out To Impress Their Friends Or Next Employer….. We Say No! Keep Your Secrets, SECRET Use A Compliance Consultancy That Respects Client Information And Don’t Need To Impress Anyone Else. Visit our site at http://www.complianceconsultant.org, email info@complianceconsultant.org or […]

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 […]

Senior Manager’s Regime: Best Practices To effectively manage product governance together with the product lifecycle

Whatever Way You Look At It …. It Is A Tough Nut To Crack Throughout the original journey to the FCA, the transfer of focus was distinctly from being a reactive to a proactive approach. The regulator is in fact attempting to stop customer detriment before it takes place where possible. A vital element of […]