Do you whistleblow or are you a “Me Too” sort of person?
The most recent scandals that have occurred have been quite enlightening about our society. We…
Author Tony.Catt
Tony.Catt
Tony Catt from The Catt's Eye View Tony Catt is a freelance compliance consultant working with several firms of different sizes. "I have previously been an adviser, which gives me a good understanding of the advice process and dealing with customers and I enjoy a close relationship with my adviser clients"
Who or what do you trust?
Yesterday, I attended the Association of Professional Compliance Consultants Culture Working Group for a presentation…
People – who knows any of those?
The old saying “there’s nowt so queer as folk” is even more apt these days…
Advice v Guidance
This has been a question that the financial services industry has been struggling with over…
So, where are we now?
We are almost two months on from 31 July 2023 deadline for implementing all the…
Consumer Duty and sustainable investment
As advisers are manufacturers of their advice process, this has given us an opportunity to…
FCA Live & Local – Consumer Duty The most fun that a compliance consultant can have with their clothes on
I attended the first London delivery of the Financial Conduct Authority (FCA) Live & Local…
What is a good outcome?
So, we all have our Consumer Duty Implementation plans in place. Of course, we do.…
High Risk Investments
The FCA has finalised stronger rules to help tackle misleading adverts that encourage investing in…
Consumer Duty – coming to a fact find near you
Over the years, the FCA has been fighting a (losing) battle to try to stop…