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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…

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People and Regulation

Despite financial services regulation being in place for many years, why do we still have regular examples of those rules…

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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…

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FCA expectations

The FCA recently published a ‘Dear Board of Directors’ portfolio strategy letter’ to all firms who outsource to third party…