WOODFORD, THE RISE OF UNLISTED SHARES AND BAT
Charlie Palmer
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 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
Explaining the FCA register to a new entrant to financial services is not easy. In fact, the register is highly complex. There are listings for
Frustrated by the FCA register? I just made a couple of video explainers: The first one is here….some IFAs will want to give this to
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
Feature-rich technology✓ No tie-in ✓ Client portal ✓ Easy CSV import ✓ Client messaging ✓ Regulatory reporting ✓ Document and policy sharing ✓ E-signatures ✓
Follow this guide to help onboard prospects. Several people asked BAT to provide some tool to manage the on-boarding of clients, as phone calls lead
