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