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...

Welcome to this week’s Compliance Digest. Here is a selection of issues that were highlighted in my various industry news feeds over the...

Welcome to this week’s Compliance Digest. Here is a summary of issues that have been highlighted in my various industry news feeds over...

It has been quiet again on the regulation front. This week I cover two issues in depth. I have summarised reactions to the FCA...

Dear CEO letter Asset Management firms Extending SDR regime to Portfolio Management Finalised non‑handbook guidance on the...

Watch out for exciting news regarding my website and a CPD proposition from 1st May. This week there has been a little new from the FCA,...

We have survived tax-year end and now have the challenge of Transitional Tax-Free Amount Certificates. The end of the week, however, has...

Welcome to this week’s compliance digest. The FCA has been busy this week. It has published its business plan for 2024/25, and the...

William Shakespeare wrote “Beware the Ides of March”. I hope today is or has been drama free. To help you navigate the regulatory...