FIT for purpose?
The Fit and Proper test for Employees and Senior Personnel sourcebook, or FIT is in…
Author Ian Ashleigh
Ian Ashleigh
I am a diploma qualified, professional, well communicated person, with excellent financial services knowledge. I have a wealth of experience and understanding of financial institutions, the regulation surrounding protection, pensions, investment and mortgage advice and administration procedures. I have a depth of knowledge of the Training and Competence requirements and their application.
Client annual reviews
In February 2024, the FCA wrote to a number of financial advisory firms requesting information…
Guidance on the treatment of Politically Exposed Persons
In July of this year, the FCA launched a review of how regulated firms treat…
FCA review of enforcement
In February 2024, the FCA published CP24/2: Our Enforcement Guide and publicising enforcement investigations –…
Bank ring-fencing five years on
The global financial crisis that began in 2007 led to a number of changes in…
Transitioning from Solvency II to Solvency UK
“Solvency II sets out regulatory requirements for insurance firms and groups, covering financial resources, governance…
Consumer Duty: The MI conundrum
On 31st July, the FCA’s Consumer Duty comes into force for all regulated firms that…
Changes to the Appointed Representatives Regime
The central tenet of the FCA’s Consumer Duty is to reduce harm to retail consumers…
Investment Pathways
The financial press has been awash with information about the introduction of Investment Pathways, but…
The Bribery Act 2010: A refresher
It has been reported that the Serious Fraud Office is investigating Canadian aircraft manufacturer Bombardier…