FCA Compliance (6)

What is SMCR competence? We explain the FCA expectations, who should own certification and how to truly evidence your...

The two largest FCA fines in 2019 were bigger than the 2018 total! After a bias to individuals in 2018, this year...

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

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

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

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

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

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

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

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

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Compliance Bulletin