As part of our growth strategy, we’re delighted to announce the appointment of two new members to the Leaman Crellin Consultancy team. David Stuart joins us as Principal Consultant, and Neil Makwana joins as Principal Compliance Consultant. David and Neil will work alongside Katharine Leaman and…
As the year draws to a close and the holiday season approaches, I find myself reflecting on the many challenges and triumphs we have faced in the compliance field. From navigating the complexities of regulations to ensuring the ethical conduct…
In the absence of FCA publishing its annual business plan at the start of its financial year, publication having been pushed back a quarter to June when it publishes its Annual Report, we have put together some of the main…
1. Brexit Readiness EEA Incoming Firms FCA has said that it intends to allow substituted compliance with the equivalent obligation in your firm’s home state. This means that you do not have to do a massive rewrite and mapping of…
Market Watch 64 is a timely reminder that the count down to the end of the Brexit Transition on 31 December 2020 is underway. Back in June 2016 FCA said that EU Regulation would continue to apply to UK firms…