Category: b-compliant News

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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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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 …

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CELEBRATING OUR B-DAY!

B-Compliant is three years old, hooray! In the words of country legend, Shania Twain, “They said, I bet they’ll never make it. But just look at us holding on…” And what a trio of years it has been. Even a …

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Let’s B-COME Partners

We have launched a new service to help small, independent financial firms meet their regulatory responsibilities and outsource complicated, time-consuming back office tasks. Subscribers to our Partnership Package receive a compliance monitoring plan, which we then manage for you, submitting …

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New FCA directory regime for advisers

We were pleased to brief readers of Professional Adviser about the need for IFAs to prioritise the submission of data for the new ‘FCA Directory of certified and assessed persons’ which is going live later this year under the SM&CR. You …