Modern Listing Example
Why FCA-regulated firms can’t skip audits: It’s more than just ticking boxes
Financial services firms, especially those operating under the watchful eye of the Financial Conduct Authority…
Who or what do you trust?
Yesterday, I attended the Association of Professional Compliance Consultants Culture Working Group for a presentation…
Why does nobody want to pay pensions these days?
I went to the Invesco “Summer” drinks recently, (thanks Invesco) – I think I was…
A perfect storm- change happening all around you
I love a traditional London pub or end-of-the-street boozer. In the 80s, I regularly frequented…
Guidance on the treatment of Politically Exposed Persons
In July of this year, the FCA launched a review of how regulated firms treat…
Will Basel 3.1 impact on the availability of niche lending products?
There has been a lot of recent trade press coverage in respect of Basel 3.1,…
Why a tick-box approach to compliance and training is not the answer
In the complex landscape of UK financial services, protecting customers from harm is paramount. Regulatory…
Roleplays: Valuable or not?
We have all attended roleplays, whether to facilitate one as a supervisor, or whether to…