Following the extension of the Senior Managers Regime 2018 (SMCR), the change from the current FCA Approved Persons Regimes (APER), the number of individuals on…
What is an Insistent Client and how to deal with them. The FCA Handbook does not refer to insistent clients and there are no rules…
The Independent Financial Advice (IFA) sector was given a clean bill of health by the FCA in May 2017. Or was it? A suitability review…
Many people often tell us that they are not sure what we do. If you have a UK Financial Services Regulatory Compliance Risk Support enquiry…
Compliance Consultancy Compliance Consultant is one of the UK’s leading FCA compliance consultancies. We help financial services firms achieve FCA & PRA Authorisation, Manage their…
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…
Independent FCA suitability file checks Advisers should have their work checked over to make sure standards remain consistent and high, according to Threesixty Services managing…
[amazon_link asins=’1118024303,1522021140,0198719795,1119240239,B01AS2T0ZA’ template=’ProductCarousel’ store=’digieboodown-21′ marketplace=’UK’ link_id=’5d5c766c-849a-11e7-bdc2-1b7420a1b569′] [layerslider id=”2″] FCA tells firms to revisit past advice after suitability review The Financial Conduct Authority (FCA) has said…