Compliance Matters: week ending 1st November 2024
There have been enough column inches written about Wednesday’s Budget Statement. You will be grateful that I do not intend to add to the...
Corporate Finance Firms: Read Our Analysis of the FCA's Portfolio Letter - September 2023
Introduction The FCA issued a comprehensive Dear CEO in September 2023 to Corporate Finance Firms (CFF), outlining its critical...
Compliance Digest - 21st June 2024
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....
Non-financial misconduct: a question of culture?
The FCA opened the current decade with a Dear CEO letter entitled “non-financial misconduct in wholesale general insurance firms”. Four...
Implementing Financial Crime Prevention: Insights from the FCA’s Definitive Guide
Tackling financial crime is a priority for the FCA. As part of its responsibility to help ensure the integrity of the UK financial...
Compliance Digest: 8th December 2023
This is a summary of FCA activity this week and articles from various industry news feeds that are of interest to the advisory sector of...
Solvency UK
Solvency II sets out regulatory requirements for insurance firms and groups, covering financial resources, governance and accountability
