Blog

The start of the Edinburgh Reforms in Action   Whilst not applicable to every regulated firm, the direction of travel has been sign...

The requirements on firms to have strong screening tools and processes has been highlighted by recent FCA enforcement action - again  ...

The requirements on firms to have strong financial sanctions screening tools and processes has been highlighted by recent FCA enforcement...

Investment firms can benefit greatly from using independent compliance consultants. Here are some key reasons why: 1. Expertise and...

The new UK government appears to be seeking to develop closer ties with the EU. Post-Brexit, cross-border engagement between UK and EU...

The FCA had announced a review of the rules which financial services firms in the UK have to follow. Consumer Duty has been a core shift...

UK Updates   There was limited FCA news in the lead up to the general election, Labour’s vision for financial services was set out in...

The name may have changed but the service hasn't. Succession had been something Gordon had been looking at for almost two years, with the...

The dreaded compliance manual. All too often it’s tedious to write, tedious to read and tedious to search. However, it’s hugely important...

It may sound trite, to compare applying for authorisation to a magic trick. But if you’re under any illusion that less-than-perfect...

Way too many firms have permissions they don’t need. Does it matter? Well, possibly not, but it could be costing you time, money and...

It’s great news for everyone in the world of compliance that the FCA has launched improvements to its Connect system (now in beta...

Back in the early 00s, when NRS was a fairly new kid on the compliance block, we were relatively tech-savvy. Well, by compliance...