It was nice to spend a long weekend in Edinburgh hence the gap since my last Compliance Digest.  The FCA has been busy and there have...

After a couple of weeks away, my compliance blog returns.  Here are some of the regulatory issues that have come across my desk from my...

It has been another relatively quiet week.   Here is y Compliance Digest summary of some of the issues that have come into my industry...

No matter which sector of financial services you work in, you need to keep up to date with changes in regulation, legislation and...

The FCA opened the current decade with a Dear CEO letter entitled “non-financial misconduct in wholesale general insurance firms”.  Four...

Finding the right Training and Competence (T&C) solution is crucial for ensuring ongoing compliance and fostering professional...

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;...

When you work in the complex and very changeable world of delivering high-quality and professional financial and investment advice,...

The FCA TC Sourcebook requires all staff of a regulated firm to be competent for their role. This applies from the Chief Executive to...