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Compliance Matters: week ending 1st November 2024
There have been enough column inches written about Wednesday’s Budget Statement. You will be grateful that I do not intend to add to the...
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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...
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Compliance Digest: 19th January 2024
This is a summary of some of the regulatory issues that have come from my various news feeds this week. It is a week for reviewing 2023...
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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...