Beam me up, Mr. Wheatley “I want the FCA to be less like Mr. Spock, and more like [...]

New Year, New Start As the Christmas and New Year celebrations become a distant memory, it’s now a [...]

The changing role of the Compliance Officer Since our last Newsletter there have been a number of significant [...]

Hot Shot Gun SlingersLike a sheriff from the Wild West, FCA have recently administered summary justice to someone [...]

From Manchester to Cupertino and back What can the financial services industry (and its regulators) learn from the [...]

Suitability Any firm who received FCA’s June 14 “Dear CEO” letter on Suitability in Wealth Management firms will [...]