FCA Assessing Suitability Review 2
The FCA have announced a review of suitability, this time with a focus on 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
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…
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…