When responding to a complaint, no matter how well you write your final response letter, if you reject a complaint, some clients will...

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...

Introduction The FCA issued a comprehensive Dear CEO in September 2023 to Corporate Finance Firms (CFF), outlining its critical...

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...

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...

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...

Welcome to this week’s Compliance Digest.  Here is a summary of issues that have been highlighted in my various industry news feeds over...