The Compliance Training Blog

Here's a selection of news stories from the last month that touch upon the people dimension of regulatory compliance. Select the links or scroll down ...

Here are the top news stories from financial services compliance over the past month, selected to highlight FCA action, the people dimension of compli...

Here's a selection of news stories from financial services compliance over the last month. These illustrate important messages coming from the FCA but...

This post aims to highlight items of news that touch upon the people dimension of regulatory compliance. For us, compliance is about people - their mo...

With Brexit preparations continuing apace, the financial services regulators have been busy through December and January. Our mission is to bring you ...

The end of year has proved to be very busy in financial sector compliance, with numerous publications concerning Brexit being issued on top of the ong...

An overview of the most recent and upcoming changes to FCA guidelines for senior managers...

The all-important MiFID II research checks start with the establishment of research payment accounts with the agreement of clients. If such accounts a...

MiFID II requires investment firms to demonstrate compliance with a wide range of new measures, building on the original MiFID from 2007.

"Are We All Senior Managers Now?" The focus of financial services firms of all sizes during 2018 will turn to the FCA and its intentions regarding the...

With just 2 weeks left to go until the MiFID II January deadline, financial firms are working flat out to ensure they're ready for the new rules. But,...

The Financial Conduct Authority (FCA) has criticised Lloyds Bank Group and issued a £28m fine after hearing evidence about its incentive scheme, which...

Which side of the debate are you on? Is MiFID II:

According to figures released by the Financial Conduct Authority (FCA), over £27bn has been paid out already to those who were missold PPI, with an es...

Is your firm ready for the new rules surrounding Direct Electronic Access? Where market members give customers direct electronic access, enabling them...

How much do you know about HFAT? Disruptive trends like High Frequency Algorithmic Trading (HFAT) and machine learning are transforming financial serv...

Research by Rsrchxchange has found that:

UK's financial regulatory body clamps down on insider trading The Financial Conduct Authority's (FCA's) clampdown on insider trading is gaining pace, ...

According to figures released by the Financial Conduct Authority (FCA), more than £27bn has been paid out already to those who were missold PPI.

Firms given APA status get ready for MiFID II. Are you? A number of firms have been granted APA status by the Financial Conduct Authority (FCA) in rea...