GDPR: One year on
During the first quarter of 2018 we were inundated as consumers with an acronym that…
Yearly Archives: 2019
FCA actions mean busy times for regulated firms
The first half of 2019 has been an extraordinarily busy time for the FCA. So…
When a PROD in the right direction is required
I heard a very interesting anecdote a couple of weeks ago about a large asset…
FCA Business Plan 2019/20
Recently, the FCA published its business plan for the coming year. This makes interesting reading.…
T&C – To be or not to be …holistic
I have, for many years, tried to encourage advisers try to become more holistic in…
The importance of leadership
For fear of stating the bloomin’ obvious, there are now fewer than six months to…
How do you deal with a challenge?
Whenever I start a new contract, I am always prepared to be challenged. When I…
Time for a change… Question mark
Recent research (I always cringe when that’s the first words of an article) shows that…
SM&CR Coffee Time Briefing
Objectives To walk through the background to the increased accountability, regulations, to identify the key…
The Certification Regime Scope
Objectives To examine the regulations relating to the scope of the Certification Regime and how…