SM&CR 5 key issues
As we approach the second anniversary of the roll out of SM&CR to all solo regulated firms, we have an…
People and Regulation
Despite financial services regulation being in place for many years, why do we still have regular examples of those rules…
What’s in a name?
The short answer is a lot. For those that have read Romeo and Juliet you will remember that Juliet is…
Avoiding death by voiceover PowerPoint
11 Tips to Help Advance Your Online Live Training Think about using your LMS to store delegate names and creating…
Compliance relating to ESG Investment
I have recently embarked on research into ESG Investment and am due to complete my report on this by the…
FCA expectations
The FCA recently published a ‘Dear Board of Directors’ portfolio strategy letter’ to all firms who outsource to third party…
