Refocus on T&C –the impact on Training
The arrival of the Financial Conduct Authority (FCA) in April 2013 heralded the new FCA…
Browsing: Regulatory Specialist
The evolving approach of T&C
In 2013 the government signalled a tougher Training and Competency (T&C) regime for regulated financial…
T&C Best Practice – 100% better Business Case
The current Consultation Paper from the FCA and PRA covering the introduction of the new…
T&C Schemes – Who goes there? Friend or foe?
Advisers will remember a time when the Compliance Officer was probably the person you would…
Certificate in consumer debt collection (CertDC)
In August, a report was released which looked into levels of UK household debt. The…
T&C evaluation
We’re all familiar with TC 2.1.12 in which the FCA state that a firm must…
Make T&C relevant
The FCA is keen to ensure that advisers are qualified to enable them to give…
Code of Conduct – embedding your culture
The financial crisis in 2007/08 threw regulation of the UK’s financial services industry into sharp…
Certificates of Professionalism
In March 2016, the UK’s Regulators – the Prudential Regulation Authority (PRA) and the Financial…
ESMA – Assessment of knowledge and competence
Advice or information? The old adage of whether a client receives advice or just information…