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Compliance Digest: 26th July 2024
Schools in England have broken up for the Summer at the same time as schools in Scotland start preparing for the new term. Summer cannot...
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The Consumer Duty Board Report Deadline: are you there yet?
An echo of the plaintive cry from a child in the back seat of the car.  As we approach the 31st July deadline for the Consumer Duty...
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Compliance Digest - 19th July 2024
It has been another relatively quiet week, apart from the King’s Speech – as ever, the devil will be in the detail as legislation is...
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Complaints: Why the role of the FOS is so important for your firm and your clients
When responding to a complaint, no matter how well you write your final response letter, if you reject a complaint, some clients will...
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Compliance Digest: 12th July 2024
It has been another relatively quiet week.  Here is y Compliance Digest summary of some of the issues that have come into my industry...
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Dealing with Complaints in the Right Way
Your firm receives a complaint, how do you react? Are you angry? Are you affronted? Do you think, “what did we get wrong and how do we...
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Compliance Digest: 5th July 2024
It has been relatively quiet this week in the lead up to the General Election. We will see what the new Government does with the...
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Corporate Finance Firms: Read Our Analysis of the FCA's Portfolio Letter - September 2023
Introduction The FCA issued a comprehensive Dear CEO in September 2023 to Corporate Finance Firms (CFF), outlining its critical...