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Common compliance healthcheck failures

11 common compliance healthcheck failures at Capital Markets firms Find out more »
6 October 2020 Osita Egbubine
Article

Keeping Payment and E-money Agents Compl...

Principal firms must take responsibility for the actions of its Agent(s), as if it had carried on th... Find out more »
28 September 2020 James Borley
Article

A new UK prudential regime

Helping you understand and respond to the FCA discussion paper Find out more »
14 September 2020 Osita Egbubine
Article

Final opportunity for EU firms to regist...

Advice for EU firms looking to continue trading in the UK post Brexit Find out more »
10 September 2020 James Borley
Article

Choosing a compliance consultancy

Here we offer a ten point selection criteria to help you choose the right consultancy partner Find out more »
17 August 2020 Kumar Ved
Article

Compliancy Services launch service solut...

Having listened to our clients, we wanted to bring a genuinely fresh perspective. Find out more »
17 August 2020 Kumar Ved
Article

Five takeaways from the new JMLSG guidan...

Key takeaways for cryptoasset firms to assist with the understanding of the new JMLSG guidance Find out more »
14 August 2020 David Rodriguez
Article

EBA and ESMA consultation could affect A...

It is likely the requirements of the latest consultation will be reflected in the FCA’s expectations... Find out more »
12 August 2020 John Burns
Article

Don’t delay your Safeguarding Audit

Although firms have up to 12 months to complete a safeguarding audit, John Burns outlines why firms ... Find out more »
11 August 2020 John Burns
Article

Checklist: Coronavirus and safeguarding ...

A checklist to help firms consider if they are meeting the new guidelines FCA guidelines Find out more »
23 July 2020 John Burns

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