Compliance Manager Guidebook and Reference Manual
FULLY UPDATED TO REFLECT FCA/PRA REQUIREMENTS If you’re a UK Financial Services Compliance Manager who wants to make sure they have all bases covered before any regulatory visit or maybe you want to...
View ArticleNew Regulatory Compliance Assistance for the Panacea Adviser Community
Regulatory Compliance Services Available Nationwide London, 28th May 2013. In this innovative development by Derek Bradley, founder of Panacea Adviser, site users have access to the professional risk...
View ArticleEasy Ways To Outsource Your Material Functions
Email Course For Professionals In Financial Services – Completely Free From CEI Compliance Over the last ten years, many financial sector firms have made increasing use of outsourcing in an attempt to...
View ArticleSecrets To Effective Financial Promotions
We are all aware of the general rules around financial promotions and know that the detailed rules on financial promotions can be found in the regulator’s Handbook at COBS (investment business), BCOBS...
View ArticleFinancial Services Compliance Manual – Amendable Template Fully Revised
Our Template Compliance Manual has over 90 pages of areas that are best concisely explained or stated in this central reference point in a logical and cumulative layout. You get a Fully Customisable...
View ArticleFCA Board appoints three new members to the Regulatory Decisions Committee
The Regulatory Decisions Committee (RDC) is responsible for taking decisions on whether to refuse or grant contested applications into the regulated community, and issuing warning and decision notices...
View ArticleConduct Risk in Financial Services
Understanding The Aims: How to Build Your Framework The FCA’s main aim in relation to the initiative of Conduct Risk is to ensure that firms do the right thing for their customers whilst keeping them...
View ArticleBanks are better out of commodities trading
The effing and jeffing of Barclays traders was cited by the Federal Energy Regulatory Commission when it sought to fine the bank for alleged price manipulation Originally posted here: Banks are better...
View ArticleNew “Lite” Version Template Compliance Manual
Compliance Consultant Launch lite version at 2/rds cost of full Manual New Lite Version! Following feedback from over 100 small and medium sized firms, we have today launched a new, smaller Template...
View ArticleDeutsche under pressure to raise capital
Investors in the German bank fear the lender is not robust enough to cope with a tougher regulatory environment and a slump in global debt markets See the article here: Deutsche under pressure to raise...
View ArticleDP14/1 Recovering the costs of administering the regulatory gateway through...
This discussion paper invites views on how we should recover from firms the costs of administering the regulatory gateway. Read the original: DP14/1 Recovering the costs of administering the regulatory...
View ArticleTough regulation stalls big mergers
While big bank mergers have stalled in face of tougher regulatory scrutiny, the number of smaller tie-ups has rebounded in the second quarter Continued here: Tough regulation stalls big mergers
View ArticleGC14/7 Proposed guidance on financial crime systems and controls
We invite views on amendments to our regulatory guidance, Financial crime: a guide for firms. More: GC14/7 Proposed guidance on financial crime systems and controls
View ArticleFCA: New strategic approach to ensure “sharper focus” to regulatory...
The FCA today set out details of how it intends to meet the regulatory challenges ahead following a detailed review of its strategy, priorities and ways of working. The rest is here: FCA: New strategic...
View Article‘Wrong skillset’ jibe masks Barclays coup
Never was there a more naked display of cunning in a Regulatory News Service announcement View original post here: ‘Wrong skillset’ jibe masks Barclays coup
View ArticleCP15/32: Smarter Consumer Communications: Removing certain disclosure...
We are consulting to remove a number of disclosure requirements which we identified as not being effective in terms of informing consumers about a product or service and to reduce the regulatory burden...
View ArticlePaying fees by instalments: we invite credit providers to express interest in...
We invite any credit providers that are interested in offering credit to firms that wish to pay their regulatory fees and levies to us in instalments to contact us by 8 January 2016. Read more: Paying...
View ArticleUK banks: catching up with the spin
Until the regulatory faffing is over, UK lender shares will languish See more here: UK banks: catching up with the spin
View ArticleInvestment advisers to return to the fray
Santander is rebuilding an advice business it hopes can weather regulatory and commercial risks See more here: Investment advisers to return to the fray
View Article
More Pages to Explore .....