THE IMPORTANCE OF MI
Charlie Palmer
The long-awaited FCA Thematic Review (TR24/1) on Retirement Income Advice has finally landed (on 20th March). FCA’s findings make awful reading. click here The file
The long-awaited FCA Thematic Review (TR24/1) on Retirement Income Advice has finally landed (on 20th March). FCA’s findings make awful reading. click here The file
At BAT we believe in slow growth as the path to a great system. Hence we have no outside shareholders, and no venture capital injections.
A mere £755 million is spent each year to fund the costs of the FCA and their 5,000 employees, according to recently released accounts. Staff
A mere £755 million to fund the costs of the FCA and their 5,000 employees, and to prevent the rest of us getting above ourselves.
FCA have finally decided to take action against Neil Woodford. But he did not act alone, he was supported by a firm called Capita, renamed
The Woodford scandal has exposed the high number of unquoted holdings inside OEIC funds. This is a concern as the FTSE public markets continue to
The Alison Rose – Nigel Farage account scandal exposes one thing clearly. Counter-party risk is top of the register this year. Regulation in general and
In a recent survey (sent to 20 larger firms) the FCA wanted to know the number of reviews that were scheduled, the number completed, and
FCA warned today the 26th March 24, that using social media promotions involves no less compliance than standard page adverts, and if not signed off
BAT Software Compliance management system features Below is a list of key modules that are provided to minimise the compliance risks: File checking report for new
