It has been another relatively quiet week, apart from the King’s Speech – as ever, the devil will be in the detail as legislation is...

When responding to a complaint, no matter how well you write your final response letter, if you reject a complaint, some clients will...

It has been another relatively quiet week.   Here is y Compliance Digest summary of some of the issues that have come into my industry...

Your firm receives a complaint, how do you react?  Are you angry?  Are you affronted?  Do you think, “what did we get wrong and how do we...

Introduction The FCA issued a comprehensive Dear CEO in September 2023 to Corporate Finance Firms (CFF), outlining its critical...

Here we are at the end of June, and we have had some warm weather down here near the South Coast, I hope you have been able to take...

Welcome to this week’s Compliance Digest.  Here is a summary of some of the issues that have come into my industry news feeds this week....

Tackling financial crime is a priority for the FCA.  As part of its responsibility to help ensure the integrity of the UK financial...

Welcome to this week’s Compliance Digest.  This week I focus on two particular issues. The Regulatory Perimeter A UK Finance publication:...

The FCA requires each firm’s Board or Governing Body (Board) to review and approve annually an assessment of whether the firm is...