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...
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...
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...
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...
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...
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...
Compliance Digest - 21st June 2024
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....
Non-financial misconduct: a question of culture?
The FCA opened the current decade with a Dear CEO letter entitled “non-financial misconduct in wholesale general insurance firms”. Four...
Compliance Digest: 14th June 2024
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....
Implementing Financial Crime Prevention: Insights from the FCA’s Definitive Guide
Tackling financial crime is a priority for the FCA. As part of its responsibility to help ensure the integrity of the UK financial...
