An echo of the plaintive cry from a child in the back seat of the car.    As we approach the 31st July deadline for the Consumer Duty...

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...

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 requires each firm’s Board or Governing Body (Board) to review and approve annually an assessment of whether the firm is...

When you’re building an advisory business in UK financial services, staying ahead isn't just about keeping up with the latest trends;...

It has been quiet again on the regulation front.  This week I cover two issues in depth. I have summarised reactions to the FCA...