Certification and SPS – when two worlds collide
Since the Retail Distribution Review (RDR) all Retail Investment Advisers must obtain a Statement of…
Browsing: Regulatory Specialist
Appropriate Qualification Exam Standards must reflect changing markets, product types and lifestyle needs
The FCA’s training and competence regime helps to protect consumers by ensuring that staff working…
Client reviews
This is quite a hot issue. The FCA has undertaken a thematic review, following RDR,…
MiFID II, SMCR, FEMR – The push for competent employees
Over the last few years, the financial services industry has been presented with a series…
MiFID II – implications
With the recent election now behind us and the Brexit negotiations likely to drag on…
MiFID II: Are you prepared?
After ten years of extensive revision, debate and delays, the revised Markets in Financial Instruments…
Adapting firms’ culture to meet the needs of the FCA Certification Regime
Introduction of the FCA’s new Accountability Regime continues apace. The one-year Transitional Period for issuing…
What’s your training strategy for compliance?
Regulation is only going one way, equaling an ever growing need to evidence competency. With…
T&C Guidance on suitability reports
The matter of suitability letters/reports has exercised the minds of advisers over the years. For…
It’s all about conduct
Enough time has elapsed post RDR for the UK Wealth Management industry to start taking…