April 12th, 2012Waltham.Pitglow
FSA Retail Conduct Risk Outlook 2012
"We would urge all firms to take the chance to have a look at this and also, take part in the FSA road shows which are shortly taking place..."[...] Read the rest »
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April 12th, 2012Waltham.Pitglow
March 30th, 2012terence.clark
Client Money – Are changes on the way?
"The main issue at this stage is to ensure that where required the Client Money Audit is carried out within the appropriate time scales and that the a[...] Read the rest »
March 29th, 2012Tom Wood
Our Meeting Recorder – A Pocket Sized Aid For An Industry Problem
"The App uses modern technology to allow brokers to provide firm evidence that client meetings have taken place, where, when and briefly what was said[...] Read the rest »
March 23rd, 2012terence.clark
FSA Business Plan and Retail Conduct Risk Outlook
"The FSA have made it very clear that if they find products or sales practices wanting, they will not hesitate to use their powers to stop the sale an[...] Read the rest »
March 9th, 2012michaelwhitfield
“Should Brokers Be Worried By This Initiative?”
"One of the most prominent questions raised was “Should brokers be worried by this initiative?” Our simple response is that firms do clearly need[...] Read the rest »
March 2nd, 2012Waltham.Pitglow
Email Signature Blocks & Sign-Offs
We have recently had a few questions about what must be included in email sign offs (or signature blocks). First of all, most of the requirements rel[...] Read the rest »
February 27th, 2012terence.clark
FSA Ban for a North West Broker for TCF Failings
"TCF has not and will never fade into the background. Although, the previous thematic work has now ceased, it is very clear that in any assessment rel[...] Read the rest »
February 27th, 2012Waltham.Pitglow
FSA Financial Crime Fact Sheet
You will hopefully have seen the FSA’s Financial crime guide from last December and since then, the FSA has issued a new fact sheet on Financial Sa[...] Read the rest »
February 22nd, 2012Tom Wood
FSA Business Risk Awareness Reviews – RWA Seminars in South West
These are being held in Bristol on the 22nd March and Exeter on the 29th March. (2 seminars at each location). Spaces are limited and cost only £45+V[...] Read the rest »
February 10th, 2012terence.clark
New Data Protection Rules On The Way?
"If consent is required for data to be processed, such consent must be given explicitly. This explicit consent could be given by way of a statement or[...] Read the rest »
February 3rd, 2012terence.clark
Business Continuity Planning & Succession Planning
"There are many things to think about. It’s not just a matter of having some paper which says how you will take a temporary office or redirect phone[...] Read the rest »
February 1st, 2012terence.clark
Acquisition and change in control
Obtaining advance approval from the FSA for any acquisition of another firm, and indeed for any changes in control is now engrained in the regulatory [...] Read the rest »
January 30th, 2012Waltham.Pitglow
Financial Sanctions Checking – There Is Free Help Out There…
“We regularly hear from brokers how time consuming these checks can be, and the solution developed by ProExe will hopefully make things easier for b[...] Read the rest »
January 16th, 2012terence.clark
FSA Business Risk Awareness Reviews
"This is not just a matter of making sure that you have ticked all the “compliance boxes” and ensuring you send out Demands & Needs and a TOBA. It[...] Read the rest »
January 9th, 2012ian.ritchie
Advising Clients About Your Income Streams
we are not suggesting that you go down the route of “hard disclosure” and setting out every penny, but the key word here is Transparency. You do n[...] Read the rest »
January 9th, 2012terence.clark
Does Your Firm Have Non-Exec Directors?
The FSA has issued a Guidance Consultation paper (GC 11/30), which sets out their expectation of non-executive directors (NEDs) in ensuring that their[...] Read the rest »
December 12th, 2011kate.foreman
‘Tis the season to be jolly – within reason!
"Employees should not be pressured into attending if they do not wish to, and employers need to ensure they offer non-alcoholic drinks and food that e[...] Read the rest »
November 24th, 2011kate.foreman
First Bribery Act Conviction
Employers training staff on bribery may wish to use this case as an example of the consequences of breaking the law. A warning of a possible custodia[...] Read the rest »
November 24th, 2011kate.foreman
Long Term Sickness Absence – New Management Strategies
The current certification system does not provide employers with the advice they need to make informed decisions about their employees' capability for[...] Read the rest »
November 24th, 2011kate.foreman
Cutting The Red Tape In Employment Law
The consultation will set out two proposals - the first is that employees pay an initial fee to lodge a claim and a second fee to take the claim to he[...] Read the rest »