SM&CR rules -Senior Management & Certification Regime – update
In April 2020, the FCA and PRA set out the expectations to help dual-regulated firms…
Author Tony.Catt
Tony.Catt
TC Compliance Services 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"
The Fixated Conduct Authority
As the ancient Chinese curse goes, we are living in interesting times. There is so…
Are you an adviser?
We live in interesting times as financial advisory firms come to terms with the lockdown…
Coronavirus -Covid19 – How are you?
I am sorry to add to the column inches devoted to Covid 19, but I…
Too risky to recommend?
This article is to look at investment options that are available for direct investments or…
FCA Business Plan 2019/20
Recently, the FCA published its business plan for the coming year. This makes interesting reading.…
Types of culture in firms within financial services
Having worked with many different organisations, I have some experience about the different types of…
SM&CR FIT assessment – how do you conduct one?
Tony Catt looks at the requirements of how to conduct a FIT assessment under the…
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…