Category: B-Compliant News

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ARE YOU READY FOR INTENSIFIED AR REPORTING?

20 June 2022 IFPR is not the only contentious acronym hitting the headlines recently. The Appointed Representatives regime (ARR) has morphed in the last few years into a controversial debate about how financial products and services should be delivered. Whilst …

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TRUE FILE REVIEWS TAKE TIME TO COMPLETE

11 April 2022 We’re firm believers that you get what you pay for. But do you know exactly what you are paying for? File reviews are a classic example. Compliance consultancies have differing opinions about what constitutes a file review …

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LIMITING SMF LIABILITY

9 February 2022 Insurance. Not the sexiest of subjects, but please bear with me. It might save you a pretty penny. Most advisory firms hold professional indemnity insurance to protect against FCA investigation, claims and fines, but in my experience, …