Compliance Digest: 13th May 2022
Each week I will summarise a number of articles from my various industry news feeds that are of interest to our section of the industry...
2020: The Regulatory Horizon for Financial Services
A new year and another year of regulatory change in prospect, here are some themes that I expect will come under the regulatory microscope.
Why MiFID II Makes Commercial Sense
There has been much written about MiFID II in the run up to its inception on 3rd January 2018 and since. The majority of the commentary...
A Guide to Training & Competence
The FCA TC Sourcebook requires all staff of a regulated firm to be competent for their role. This applies from the Chief Executive to...
A Practical Guide to Financial Promotions
Effective advertising will encourage clients and prospective clients to find out more about your firm and the services you offer. ...
Guide to Risk Profiling
Assessing your client’s attitude to risk is an essential element of the financial planning process. In addition, the regulator expects...
