Here we are at the end of June, and we have had some warm weather down here near the South Coast, I hope you have been able to take...

No matter which sector of financial services you work in, you need to keep up to date with changes in regulation, legislation and...

Welcome to this week’s Compliance Digest.  Here is a summary of some of the issues that have come into my industry news feeds this week....

The FCA opened the current decade with a Dear CEO letter entitled “non-financial misconduct in wholesale general insurance firms”.  Four...

Welcome to this week’s Compliance Digest.  Here is a summary of two of the issues that have come into my industry news feeds this week....

Tackling financial crime is a priority for the FCA.  As part of its responsibility to help ensure the integrity of the UK financial...

Welcome to this week’s Compliance Digest.  This week I focus on two particular issues. The Regulatory Perimeter A UK Finance publication:...

The FCA requires each firm’s Board or Governing Body (Board) to review and approve annually an assessment of whether the firm is...