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Proportion

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 …

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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 …

Proportion

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 …

Proportion

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 …

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