The FCA has set out steps firms should take to help identify key workers in financial services.
Firms need to take urgent action in relation to key workers. See full details here.
The FCA has set out steps firms should take to help identify key workers in financial services.
Firms need to take urgent action in relation to key workers. See full details here.
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FCA provide guidance on SMF16/17 appointments
Richard Foster Compliance FCA, ML, PI, training
Firms should have heads of compliance and money laundering reporting officers (MLROs) who are suitably competent and capable of effectively performing the roles. It is appropriate to carefully consider how individuals can demonstrate this ahead of seeking regulatory approval. The FCA have recently issued guidance which should help firms decide if an individual candidate is […]