Regularly reviewing your compliance framework not only helps you to ensure you are meeting your regulatory requirements but also provides you with peace of mind that you have the right compliance policies,...
Across European Union (EU) member states, there is a wide variation in how investment firms are prudentially supervised. In the UK, for example, there are three prudential sourcebooks for investment firms- BIPRU,...
The FCA recently released its Sector Views report, a summary of its findings on each sector – areas of investor harm, drivers of change and how each sector is changing. It provides...
The FCA recently released its Sector Views report, a summary of its findings on each sector covering areas of investor harm, drivers of change and how each sector is changing. It provides...