Regulation and Compliance
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Double Standards From The Regulator
The Regulator is Falling Asleep on the Job, says Gill Cardy Recent news, which even made it onto BBC Radio 4’s satirical…
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Oops, so you’ve goofed?
Okay, so you’ve made a mistake and it’s time to fess up to the regulator and tidy up the mess. What comes first,…
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Newly Born, And 30 Years Late For a Pension
Bless its little cotton socks. What that new baby really needs for a christening present is a time travel ticket back to…
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AIC Roadshow – Bringing It All On Home
It’s not something that every adviser is keen to admit, but 18 months after RDR there are still a few nagging doubts…
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FCA Listens
The FCA has published its 2013/14 Annual Report and says it will use the “…eyes and ears of consumers…” to keep a…
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Attestations – A New Worry
Watch Your Back, Says compliance specialist Lee Werrell. The Regulator’s Toughening Up On Affirmations by Directors and SIFs Last year the FCA…
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Robin Hood and the FCA: A Financial Fairy Tale
Would Robin Hood be a payday lender? Ofer Valencio Akerman, a corporate turnaround specialist, pushes the case for the defence to the limit.…
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Disclosure – Clarity Please
The FCA’s latest review into disclosure doesn’t shed any new light, says Compliance Consultant Lee Werrell. Surely enough is enough? You’d think…
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AIFMD – Red Tape Alert
Time is running out for alternative fund managers to submit their applications under the new AIFMD legislation, says Nick Sudbury. But the…
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PS 14/4: Linguistic Lunacy
Compliance Consultant Lee Werrell says that PS14/4, on the FCA’s Regulatory Approach to Crowdfunding over the Internet, is taking the terminology into…
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