Compliance Training Blog

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

For us, compliance is about people - their motivations, their errors of judgement, and in some cases, brazen disregard of the rules. Here's a selectio...

With Brexit preparations continuing apace, the financial services regulators have been busy through December and January.

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...

For those new to the SMCR it's useful to understand how the regime differs from SIMR and APR. We outline the 12 most important differences.

Now that the Senior Managers and Certification Regime (SM&CR) has been extended, how will it affect insurers? We have the answers to 16 frequently ask...

The extension of the Senior Managers and Certification Regime (SM&CR) to dual regulated insurers took place on December 10th 2018. Insurance firms nee...

The key MiFID II research checks start with the establishment of research payment accounts with the agreement of clients. If these required for existi...

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

MiFID needn't be a headache, just follow our tips to get your compliance on track.

The Financial Conduct Authority (FCA) criticised Lloyds Bank Group and issued a £28m fine after learning about the conflict of interest self-evident i...

Which side of the debate are you on? Is MiFID II a threat or an opportunity...

In response to scandals like the misselling of PPI, the EU introduced MiFiD II, requiring those offering investment advice to make sure that it is sui...

Where market members give customers direct electronic access to enter orders into their trading system for execution firms are obligated to mitigate r...

Disruptive trends like High Frequency Algorithmic Trading (HFAT) and machine learning are transforming financial services. So it's important to know w...

MiFID II aims to standardize practices across the EU and restore confidence in the industry, in the wake of the 2008 financial crisis. But many asset ...

The Financial Conduct Authority (FCA) clampdown on insider trading is gaining pace, after a number of high-profile investigations.

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

A number of firms have been granted APA status by the Financial Conduct Authority (FCA) in readiness for the introduction of MiFID II.