SM&CR 5 key issues
As we approach the second anniversary of the roll out of SM&CR to all solo…
Author Vince Harvey
Vince Harvey
Compliance Cubed Financial services is constantly changing - my passion is helping firms function effectively and in compliance with FCA regulation
A new world; a new normal
Since my last article I have had a trip to France cancelled for the third…
Flexible ethics?
Early in March the FCA made an announcement in the news section of its website…
Culture and the role of Training & Competence
It seems to me that everyone who speaks on behalf of the FCA includes at…
T&C – the new ‘normal’
When I agreed to write this article at the end of April we had been…
FCA Assessing Suitability Review 2
The FCA have announced a review of suitability, this time with a focus on the…
White, male, enabled and middle class-what can I bring to the discussion?
There has been a lot of discussion, media interest, political decisions, conferences, etc on the…
Should we fear the arrival of SM&CR?
We’re seeing a range of businesses offering courses and consultancy around the Senior Managers and…
Claims management becoming FCA regulated – The impact on people’s roles
It has been estimated that there were about 500 claims management companies (CMCs) when the…
What does T&C have to do with asset allocation?
I occasionally still hear the idea that 90% of investment returns are due to asset…