Listen up, big boy
It’s always interesting, when you review action plans with delegates as they come back on…
Yearly Archives: 2017
Competence and qualifications
The Financial Conduct Authority (FCA) has published its quarterly consultation on proposed miscellaneous amendments to…
Making the old new again
Amongst all the valueless content I scroll through on a daily basis on Facebook, occasionally…
Are you using your Learning and Development fund?
I could have entitled this article – Are you using your Apprenticeship Levy? but I…
The role of T&C in a firms’ culture
Firms should have a culture that is both generic to the industry that we work…
How often do we hear “I’m not sure I can cope with any more!”?
Normally in this article I focus on a topical issue for our institutional colleagues in…
Client reviews
This is quite a hot issue. The FCA has undertaken a thematic review, following RDR,…
Mortgages – Competence in the equity release market
The Financial Conduct Authority [FCA] recently announced plans to drop its suggestion of a compulsory…
Have you made the FCA business plan YOUR business?
FCA cross-sector priorities – Conduct and Culture Remember that an FCA Director of Supervision once…
Ensuring fair customer outcomes from Canary Wharf to Delhi
‘Our focus on culture and governance in financial services and its impact on individuals and…