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...
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...
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...
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...
Compliance Digest - 7th May 2024
Welcome to this week’s Compliance Digest. This week I focus on two particular issues. The Regulatory Perimeter A UK Finance publication:...
The Consumer Duty Board Report Deadline is Looming - Are You Ready?
The FCA requires each firm’s Board or Governing Body (Board) to review and approve annually an assessment of whether the firm is...
Why Your Financial Advisory Firm Needs a Comprehensive Training & Competence Scheme
When you work in the complex and very changeable world of delivering high-quality and professional financial and investment advice,...
Compliance Digest: 19th April 2024
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,...
Compliance Digest: 8th December 2023
This is a summary of FCA activity this week and articles from various industry news feeds that are of interest to the advisory sector of...
Solvency UK
Solvency II sets out regulatory requirements for insurance firms and groups, covering financial resources, governance and accountability