As a result of firms needing to implement Consumer Duty this year (and many still don’t appear to have their
Read more
The title may well lead you to thinking that this guy isn’t too tightly wrapped and perhaps a couple of
Read more
We have developed an online training course to assist T&C supervisors demonstrate competence in their role.
Read more
A new notification rule takes effect from 25 June 2022. Read on for details. Firms will be aware
Read more
We are delighted to announce that our new and upgraded Member’s Area will be available on Monday 9th May.
Read more
Firms should have heads of compliance and money laundering reporting officers (MLROs) who are suitably competent and capable of effectively
Read more
The coronavirus (Covid-19) pandemic has resulted in many firms adopting remote working for some or all employees. Indeed, some of
Read more
Even with all the deferrals of deadlines around implementation of the SMCR as a result of COVID, firms should now
Read more
There is a longstanding regulatory principle (Principle 8) that a firm must manage conflicts of interest fairly, both between itself
Read more
Since MiFIDII came into effect in 2018, it has been a requirement on firms to take reasonable steps to record
Read more