Business
WHY ADVICE QUALITY MONITORING METHODS ARE NO LONGER SUFFICIENT
Thorough monitoring of the quality and suitability of advice should be at the forefront of firms’ ob...
12th February, 2015
Regulation
Latest articles
Banking
A POWER SHIFT IN THE BANKING SECTOR? A CASE OF WATCH THIS SPACE…
Having earned their place as part of the UK’s lending landscape, so-called challenger banks are havi...
12th February, 2015
Top Stories
INSTINCT STUDIOS LAUNCHES FUND EXPLORER TO IMPROVE INVESTMENT TRANSPARENCY AND CUSTOMERS’ FINANCIAL DECISION-MAKING
~ Interactive platform offers a new industry standard for the provision of investment information ~...
11th February, 2015
Top Stories
ARGENTINA RANKED MOST COMPLEX PLACE TO DO BUSINESS IN THE WORLD
UK and Ireland ranked amongst the least complex Whistleblowing and Cyber Security top the compliance...
7th February, 2015
Finance
OVERVIEW OF T&C IN 2014
By Neil Herbert, Director, HRComply Another year is past and before the retail financial services se...
3rd February, 2015
Interviews
ANALYZE THE IMPACT OF VOLCKER ON NON-US AND SMALLER BANKS
Interview with William Meehan, Executive Director, Capital Markets Trading Compliance at CIBC The Vo...
31st January, 2015
Business
A TIME OF PAYMENT MARKET CHANGE DOES NOT AUTOMATICALLY SIGNAL MARKET DECLINE
According to Sopra Banking’s Amanda Hartshorne, a single, open, secure and innovative European marke...
28th January, 2015
Finance
CREATING A TRICKLE-DOWN COMPLIANCE CULTURE
In 2014, the Financial Conduct Authority (FCA) fined companies a total of £1,471,431,800 for complia...
28th January, 2015
Trading
SETTING THE STAGE FOR REGULATORY CHANGE IN 2015
Financial institutions have emerged from the rigorous regulatory and data demands of 2014a little ba...
24th January, 2015
Top Stories
BUSINESSES MUST CLAIM FOR LATE PAYMENT COMPENSATION MASSIVE PAYOUT DUE TO FIRMS, FOR LATE PAYMENTS GOING BACK 6 YEARS
Today, the Institute of Directors has said that large businesses risk regulation by failing to pay t...
24th January, 2015
Top Stories
NEW AUDIT STANDARDS WELCOMED BY ACCA; GLOBAL PROFESSIONAL BODY ENCOURAGES AUDITORS TO BE BOLD AND USE STANDARDS TO ENHANCE TRANSPARENCY AND SHOWCASE INNOVATION
Audit has an important place in society, says ACCA The IAASB’s new revisions to International Auditi...
21st January, 2015
Top Stories
ROLL BACK THE RED-TAPE ON WEALTH MANAGERS ANDDON’T LUMP THEM IN WITH BANKS, SAYS CISI
Wealth managers, whose focus is on individuals, are badly served by being lumped in with “banks” and...
20th January, 2015