FCA Business Plan 2019/20
Recently, the FCA published its business plan for the coming year. This makes interesting reading.…
Author Tony.Catt
Tony.Catt
Compliance Consultant
Firm culture in financial services
Having worked with many different organisations, I have some experience about the different cultures that…
How to conduct a FIT assessment
The Senior Managers and Certification regime (SM&CR) was introduced in 2015 and has been in…
Education, education, education
I have read some interesting articles recently regarding education for advisers and these have raised…
Regulation and compliance b******s
As the number of “GDPR (General Data Protection Regulations) compliant” privacy notices in my inbox long…
How do you take your risk? – EIS?
I have recently been involved with some Enterprise Investment Scheme (EIS) funds, which is a…
The Insurance Distribution Directive
This is just another of the tsunami of rules being introduced in 2018, alongside MIFID…
Client reviews
This is quite a hot issue. The FCA has undertaken a thematic review, following RDR,…
Getting the most out of your approach with CPD
For many advisers, Continuous Professional Development (CPD) is a necessary evil that is foist upon…
T&C Guidance on suitability reports
The matter of suitability letters/reports has exercised the minds of advisers over the years. For…