FCA Compliance (4)

SMCR - The People Dimension
SM&CR – The People Dimension

SMCR - The People Dimension

SMCR is a real opportunity to build healthy cultures, effective governance & personal responsibility and as a result a...

SMCR Breakfast Briefing
Skillcast Breakfast Briefing: SMCR

SMCR Breakfast Briefing

Networking breakfast focusing on SM&CR training and implementation tools for banking, insurance and solo-regulated...

Highest FCA Fines of 2018
Highest FCA Fines of 2018

Highest FCA Fines of 2018

FCA fines slumped in 2018 to only £60.5m having totalled almost four times that amount in 2017!

Compliance Essentials
  • Compliance Learning

Essential Compliance Courses

Our best-selling Essentials Library of over 100 e-learning and microlearning courses is a one-stop compliance solution.

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MiFID II research checks

Key MiFID II Research Checks

Martyn Oughton writes about the all-important MiFID II research checks. Follow his checklist to make sure your firm is...

5 Ways to Avoid Conflicts of Interest with Customers

5 Ways to Avoid Conflicts of Interest with Customers

Read this blog post and follow our top tips to be sure you put your customer needs first ahead of the introduction of...

How to Achieve MiFID II Compliance

How to Achieve MiFID II Compliance

MiFID arrived in response to the market crash. Following the PPI scandal, it was strengthened with the introduction of...

Compliance Bulletin

Compliance Bulletin

Our monthly email provides best practices, expert opinions, industry insights, news and key trends in regulatory compliance training, digital learning, EdTech and RegTech.

5 steps you should take to prepare for Direct Electronic Access
5 steps you should take to prepare for Direct Electronic Access

5 steps you should take to prepare for Direct Electronic Access

Read this blog pot to find out the steps you should be taking to prepare for direct electronic access (DEA) under MiFID...

Key High Frequency Algorithmic Trading Controls
5 Essential Controls for High Frequency Algorithmic Trading

Key High Frequency Algorithmic Trading Controls

Understand high frequency algorithmic trading (HFAT) and the 5 key controls you need in light of the MiFID II regime.

6 Tips to Avoid Financial Mis-selling
6 Tips to Avoid Financial Mis-selling

6 Tips to Avoid Financial Mis-selling

The UK financial services industry has been hit with billions in fines as a result of mis-selling products. We have...