Manchester-based compliance experts, B-Compliant, are warning financial firms who did not meet the Directory Persons deadline at the end of March to heed the final call for submissions. Last week, the FCA emailed some 2,800 consumer-facing firms who did not …
Manchester-based B-Compliant is reminding all advisory firms that they must submit their entries to the FCA’s directory of certified and assessed persons by the end of the month. The financial compliance experts are warning all certified staff, directors not performing …
This article was first featured in Money Marketing in June 2020. Permissions: Use them or Lose them We often come across firms that hold certain regulatory permissions, but don’t use them. The first one that comes to mind is mortgages. …
A new arrangement between HMRC and the FCA highlights the need for advisors to remain vigilant of their compliance obligations surrounding furloughed staff. A collaboration agreement between the FCA and HMRC, announced on May 1st 2020, has the potential for …