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The FCA was set up in 2013 as a response to the perception that its predecessor, the Financial Services Authority, had failed to properly regulate
In a rare decision by the Upper Tribunal (UT) last month, the superior court of record handed down its 209 page decision in Seiler and
The Financial Services and Markets Bill (“the Bill”) is now in its consideration of amendments stage, the final legislative phase before being presented to the
Take a look at our newest update which allows you to download in-depth Management Responsibilities Maps at the click of a button!
Readers of the Corterum blog will likely be aware of the sudden fall from grace of Crispin Odey, one of the City’s most celebrated hedge
Summary The Financial Conduct Authority has announced a series of fines for Banque Havilland SA and three of its employees for breaching principles of integrity
Ensuring that all staff within your firm are fit and proper to carry out their role is absolutely essential to your firm’s compliance efforts. That’s
If your firm is required to maintain a management responsibilities map, here’s what you need to know… Broadly, the requirement to create and maintain a
The creation and maintenance of handover materials is a key responsibility of senior managers under the Senior Managers and Certification Regime (the “SM&CR”). If you
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