Compliance Matters: week ending 18th October 2024
As the trees acquire their autumnal hue, and the mornings become damp and darker, we are moving towards the end of the year. It is not...
Corporate Finance Firms: Read Our Analysis of the FCA's Portfolio Letter - September 2023
Introduction The FCA issued a comprehensive Dear CEO in September 2023 to Corporate Finance Firms (CFF), outlining its critical...
Non-financial misconduct: a question of culture?
The FCA opened the current decade with a Dear CEO letter entitled “non-financial misconduct in wholesale general insurance firms”. Four...
Compliance Digest - 26th April 2024
Dear CEO letter Asset Management firms Extending SDR regime to Portfolio Management Finalised non‑handbook guidance on the...
Compliance Digest - 22nd March 2024
Welcome to this week’s compliance digest. The FCA has been busy this week. It has published its business plan for 2024/25, and the...
Compliance Digest: 8th December 2023
This is a summary of FCA activity this week and articles from various industry news feeds that are of interest to the advisory sector of...