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...

It has been relatively quiet this week in the lead up to the General Election.  We will see what the new Government does with the...

Here we are at the end of June, and we have had some warm weather down here near the South Coast, I hope you have been able to take...

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

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

Welcome to this week’s Compliance Digest.  Here is a summary of two 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...

Welcome to this week’s Compliance Digest.  Here is a selection of issues that were highlighted in my various industry news feeds over the...