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…
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
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…
What will the ‘new directory’ mean to your firm?
In July the Financial Conduct Authority (FCA) proposed creating a new Directory to help consumers…
FCA business plan 2018/19
In their latest business plan the FCA (Financial Conduct Authority) have identified 7 priorities for the…
GDPR – assessing the impact in our world
Penalties of up to €20m or 4% of total worldwide annual turnover of the preceding…
MiFID II – implications
With the recent election now behind us and the Brexit negotiations likely to drag on…
T&C evaluation
We’re all familiar with TC 2.1.12 in which the FCA state that a firm must…
More of the same or a real change?
As stated in the FCA’s Business Plan for 2016/17 their statutory objectives haven’t changed and…
Developing a social media strategy
I came across this recently: ‘Social media is not the crux of your argument. It…
What about the competence of non-adviser staff?
My last article looked at the issues around evaluating a T&C scheme for advisers and…