Compliance
Regulation
The Financial Conduct Authority (FCA) is gearing up to interview London-based advisers about their risk assessment processes as it works its way across the country.
13 January 2014
•
Your profession
Two former regulatory supervisors have been appointed to senior roles at The Consulting Consortium (TCC).
14 November 2013
•
Regulation
The regulator is moving away from an over-reliance on static rules and regulations to a "good judgement" approach, and expects the industry to follow suit, Martin Wheatley has said.
24 October 2013
•
Regulation
The Financial Conduct Authority (FCA) yesterday published the findings of a review into potential inducements between providers and advisers - but there are a few things the paper failed to mention, according to Threesixty.
19 September 2013
•
Regulation
SimplyBiz has gone live with the second stage of its Vision proposition and launched the Business Compliance Hub.
07 August 2013
•
