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...

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...

Schools in England have broken up for the Summer at the same time as schools in Scotland start preparing for the new term. Summer cannot...

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...

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

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....

The FCA opened the current decade with a Dear CEO letter entitled “non-financial misconduct in wholesale general insurance firms”. Four...