LOOKING FORWARD TO MMI HARROGATE
If you are visiting Money Marketing Interactive next week at Harrogate’s Rudding Park Hotel, don’t forget to stop by and say hi! The B-Compliant team will be on hand in the exhibition area on Wednesday, September 15 to answer any …
EXEMPT-CAD FIRMS – ARE YOU READY?
Changes are afoot for investment firms, as the FCA strives to strengthen the integrity of financial markets and provide consumers with greater protection and consistency. In January, new rules are being implemented that will see Markets in Financial Instruments Directive …
B-COMPLIANT CELEBRATES DOUBLE AWARD ACHIEVEMENT
Two key members of the team at Manchester-based B-Compliant are being recognised for the roles they play in promoting the work of women in the financial services industry. The financial compliance specialists have been shortlisted in two categories at …
EVIDENCE IS KEY TO SMF SUCCESS CLAIMS B-COMPLIANT
Manchester-based B-Compliant is urging financial advisory firms to fully evidence their senior management applications, before submission, to avoid clogging up the system. The financial compliance experts recommend reviewing pre-submission SMF applications, to ensure all checks have been made to …
DO YOU DO FINANCIAL PROMOTIONS?
Compliance consultants raise the question of financial promotions at initial and ongoing health checks with clients. When we ask “do you do any?” we so often receive the same response: “No, we don’t advertise, most of our business comes through …
SUCCESSFUL SENIOR MANAGEMENT APPLICATIONS
The FCA is often criticised for authorising individuals with ‘interesting histories’ and yet, in the same breath, for taking so long to approve applications. Factual evidence would suggest these criticisms are fair. The FCA should do more to weed out …