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…
Browsing: Regulatory Specialist
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…
CPD- Moving with the mobile times
Has Continuing Professional Development, or CPD, overtaken RDR as the adviser’s acronym of doom? How…
Establishing appropriate oversight and governance for your T&C arrangements
Firms that are large enough for line management and functions, such as Human Resources, Compliance…