Compliance Training Blog

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 PRA’s Senior Insurance Managers Regime (SIMR) and the FCA’s revised Approved Persons Regime (APR) have implemented a streamlined version of the Se...

Do you have questions about the extension of the Senior Managers and Certification Regime (SM&CR) to Insurers? You may be keen to understand what it w...

The extension of the Senior Managers and Certification Regime (SM&CR) to dual regulated insurers takes place on December 10th 2018. If your firm is in...

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 a threat or an opportunity...

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...

Where market members give customers direct electronic access, enabling them to enter orders into their trading system for execution using their tradin...

Disruptive trends like High Frequency Algorithmic Trading (HFAT) and machine learning are transforming financial services. And many firms, such as Gol...

Research by Rsrchxchange has found that:

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.

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...

Is this the end of the investment research analyst? When MiFID II took effect on January 3rd 2018,  it became increasingly clearer how firms plan on t...

Is your firm ready for MiFID's data retention rules? As the implementation of  the Markets in Financial Instruments Directive (MiFID) II draws closer,...