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...

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

Effective advertising will encourage clients and prospective clients to find out more about your firm and the services you offer. ...

Assessing your client’s attitude to risk is an essential element of the financial planning process. In addition, the regulator expects...

We are pleased to announce that our Compliance Director, Ian Ashleigh, has been awarded the UK Diploma in Governance, Risk and Compliance...

Read my latest published article in the October issue of T-CNews entitled: Code of Conduct - Embedding Your Culture. #CompanyCulture...