MiFID II – implications
With the recent election now behind us and the Brexit negotiations likely to drag on…
Browsing: Regulatory Specialist
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…
‘Facts are stubborn things, but statistics are more pliable’
Hannah and Will have reputations that go before them. Hannah is a senior manager in…
Consumer credit – taking the long term view
A huge proportion of my working life, and that of my colleagues, is spent speaking…
New Certificate in International Trade Finance launched
In March 2014, an updated version of a leading qualification for international trade professionals was…
Suitability Reports -Too much information?
Sometimes you can be doing something that you do every day, and then one day…