Newsletters
Check your details! New Year, New Enthusiasm
Important: FCA requirement to update or confirm your firm details A brief news release from FCA on 23 [...]
2020 – Into the Murk? 5th Anti-money Laundering Directive
As 2020 opens and we gaze into the crystal ball for the year ahead, the picture has never been more hazy. [...]
Christmas tips from the Enforcement Department
Christmas tips from the Enforcement Department News reaches us from our mole in FCA Looking back over the [...]
Adequate Financial Resources – what are they? Who Knows…
All firms should be concerned about FCA’s proposals for Adequate Financial Resources, contained in CP 19/20. [...]
Appointed Reps – writing on the wall?, No retail, no worries?
Life as an Appointed Representative (AR) is going to get harder. FCA continues to turn the screws on [...]
SMCR – First Quarter Down, What if? Brexit – last orders?
Firms’ implementation of FCA’s Senior Managers and Certification Regime (SMCR) should now be [...]