Tag Archives: risk assessment

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 […]

Who Must Register – Money Laundering Supervision for Estate Agents

mlr2017-estate-agents-uk-hmrc-treasury

The New Money Laundering Regulations 2017 are due to be effected from 26th June 2017… Are You Registered? Who must register You must register with HMRC if your business carries out any activity defined as estate agency work. This includes things like: sending out property details and arranging viewings offering personal advice to potential sellers […]

Compliance Consultant Success – Another Progressive Client Joins Our Fold

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

How Does The FCA and PRA Big Brother Thing Work? (Infographic)

Of course there are many other ways that the regulator may hear about something detrimental, but we have shown the mainstream areas here. Members of our retainer “Call Anytime Service“ get access to the “Regulatory Crisis” help we provide and will receive free regular updates and information. See the “Shop” for details.

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 […]