The FCA is making some changes to its focus under conduct of business. Don Scott gives you the insight you need to know.

It's still business as usual in the regulatory world. Technical Director Don Scott explains how you can avoid being caught out.

Mini-bonds are under the regulatory spotlight. David Boyhan delves into what mini-bonds are and what can be learned from recent failures in the market.

We created an action plan to bring the target firm up to scratch prior to the acquisition and reduce conduct risk.

We helped a firm design a more effective and efficient compliance function

In conjunction with its 2019/20 Business Plan, the FCA has published its research agenda, which highlights its current areas of interest across five key areas.

Join us as we discuss how the fast-approaching Senior Managers and Certification Regime (SM&CR) will affect firm's HR departments and influence the management of employees.

SM&CR is one of the biggest changes on the horizon for 2019 and could potentially cause a compliance headache for the advisory sector. We share our outlook on this regime and others for the year ahead.

MiFID II recently hit a significant milestone, having been in force for 12 months. We examine the impact it has had on the industry.

For solo-regulated firms, the forthcoming extension of SMCR represents the next major regulatory change on the horizon.

By end of this year, senior managers could be held personally accountable for any conduct failings within their areas of oversight under SMCR.

On the 29th November the FCA responded to the requests of the Treasury select committee by publishing an impact assessment paper on the UK's departure from the EU...

Many firms have started their program or are in early stages of preparations, but it’s not too late to take the initial steps towards SMCR compliance.