When responding to a complaint, no matter how well you write your final response letter, if you reject a complaint, some clients will...

It has been another relatively quiet week.   Here is y Compliance Digest summary of some of the issues that have come into my industry...

Introduction The FCA issued a comprehensive Dear CEO in September 2023 to Corporate Finance Firms (CFF), outlining its critical...

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.  This week I focus on two particular issues. The Regulatory Perimeter A UK Finance publication:...

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

This week came with the announcement that the General Election will be on 4th July.  Will a new Government continue to deliver the...

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

When you work in the complex and very changeable world of delivering high-quality and professional financial and investment advice,...