August has turned into September, meaning that many of us have put our suitcases away for the time being and sharpened our pencils,...

After a couple of weeks away, my compliance blog returns. Here are some of the regulatory issues that have come across my desk from my...

After a week away in the Oxfordshire sunshine, the Compliance Digest returns with a summary of recent FCA activity and a note about...

If you have picked up your emails while on holiday – don’t it will still be here on your return. I am away next week in rural...

An echo of the plaintive cry from a child in the back seat of the car. As we approach the 31st July deadline for the Consumer Duty...

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...