FCA Compliance (6)

We answer 17 FAQs about how the extension of SM&CR to insurers will impact on almost every employee an insurance firm.

The extension of SMCR to solo-regulated financial firms affected 50,000 companies. We answer the 17 most frequently...

What is SMCR competence? We explain the FCA expectations, who should own certification and how to truly evidence your...

Our best-selling Essentials Library of over 100 e-learning and microlearning courses is a one-stop compliance solution.

SMCR is a real opportunity to build healthy cultures, effective governance & personal responsibility and as a result a...

Networking breakfast focusing on SM&CR training and implementation tools for banking, insurance and solo-regulated...

Martyn Oughton writes about the all-important MiFID II research checks. Follow his checklist to make sure your firm is...

The UK financial services industry has been hit with billions in fines as a result of mis-selling products. We have...

Read this blog post and follow our top tips to be sure you put your customer needs first ahead of the introduction of...

MiFID arrived in response to the market crash. Following the PPI scandal, it was strengthened with the introduction of...

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Compliance Bulletin