Ask the experts: Financial Ombudsman Service
The Financial Ombudsman Service, which arbitrates on disputes between financial services firms and their clients,…
Author CISI
CISI
The Chartered Institute for Securities & Investment is the leading professional body for securities, investment, wealth and financial planning professionals. Formed in 1992 by London Stock Exchange practitioners, we have a global community of circa 40,000 members in 116 countries and last year more than 40,000 CISI exams were sat in 80 countries, 15,000 taken outside the UK.
Ask the experts: Auditor and accountant responsibilities
Melanie Hind, the Financial Reporting Council’s executive director for audit and actuarial regulation, discusses the…
Private equity regulatory developments since 2017
Ashley Long FCSI, partner and CFO at GMT Communications, outlines some key developments in private…
Ask the experts: Governance of cryptocurrencies
Professor Michael Mainelli, chairman of Z/Yen Group, outlines the current state and future challenges of…
Update to the CISI’s Code of Conduct and mandatory CPD
The CISI has updated its Code of Conduct and made some changes to its requirements…
Continuing Professional Development
The implementation of the RDR was a watershed moment for the retail financial services industry.…
Certificates of Professionalism
In March 2016, the UK’s Regulators – the Prudential Regulation Authority (PRA) and the Financial…
CREST at 20
The UK’s settlement system CREST turns 20 this year. How did it evolve and what…
Advice for all?
The aim of the Financial Advice Market Review is to make advice cheaper, clearer and…
Ask the experts: Senior Managers Regime
Who will the new Senior Managers Regime apply to and what will their responsibilities be?…