🚨 "Breaking Down UK-EU Sanctions: What Every Business MUST Know in 2025"
The UK’s financial sanctions regime is a vital instrument employed by the government to achieve foreign policy and national security goals. Key objectives include promoting peace, preventing conflicts...
26 Jan 202527min
Staying Compliant: Mastering FCA Fitness & Propriety Standards
This podcast summarises the key themes and expectations outlined by the Financial Conduct Authority (FCA) regarding Fitness & Propriety (F&P) assessments for Senior Management Functions (SMFs) and Cer...
21 Jan 202520min
Understanding SMCR Responsibilities: A Comprehensive Guide to Managing Risks and Controls
The Imperative of SMCR in Current Times The pandemic has profoundly impacted operational frameworks across industries, pushing many firms to deprioritise compliance measures. However, the Prudential ...
15 Jan 202552min
FCA Notifications and Key Themes inc Prin 11
FCA Notifications and Key Themes To learn more or to schedule a no-obligation discovery call, please get in touch with us at https://complianceconsultant.org, Email info@complianceconsultant.org or i...
7 Jan 202520min
FCA ICARA Process Requirements
The ICARA process marks a shift towards a holistic risk management approach for MiFID investment firms. It mandates proactive identification and mitigation of potential harms to consumers, clients, an...
3 Jan 202513min
FCA Compliance Consultants - A Practical Guide
Welcome to our latest video on FCA Compliance Consultants! In today’s ever-evolving financial landscape, ensuring compliance with FCA regulations is paramount for any business operating in the UK’s fi...
30 Dec 20246min
S178 Acquisition and Control of UK Authorised Firm
Review of FCA's Prudential Assessment of Acquisitions and Increases in Control Purpose: To provide a comprehensive overview of the FCA's updated guidance on change in control notifications, focusing o...
29 Dec 202418min
Consumer Duty and Financial Crime Compliance
Consumer Duty Implementation and Oversight# A. Ongoing Advice Standards: Firms must ensure ongoing advice is valuable by: Clearly defining services and fees. Demonstrating client-specific value, p...
29 Dec 202458min
