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

Welcome to this week’s Compliance Digest.  Here is a selection of issues that were highlighted in my various industry news feeds over the...

This week came with the announcement that the General Election will be on 4th July.  Will a new Government continue to deliver the...

At Compliance Matters UK Limited, we're passionate about empowering financial services professionals to reach their full potential.  Our...

When you’re building an advisory business in UK financial services, staying ahead isn't just about keeping up with the latest trends;...

It has been quiet again on the regulation front.  This week I cover two issues in depth. I have summarised reactions to the FCA...

Watch out for exciting news regarding my website and a CPD proposition from 1st May. This week there has been a little new from the FCA,...

We have survived tax-year end and now have the challenge of Transitional Tax-Free Amount Certificates.  The end of the week, however, has...

I hope you had a good Easter.  Here is the last Compliance Digest of the financial year. Companies House begins phased roll out of new...

William Shakespeare wrote “Beware the Ides of March”.  I hope today is or has been drama free.  To help you navigate the regulatory...