
Behind The Desk with Shaid Moughal
This Behind The Desk Guest Shaid Moughal interview explores how he approaches CASS compliance and investor…
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This Behind The Desk Guest Shaid Moughal interview explores how he approaches CASS compliance and investor…
Senior compliance professionals continue to stumble over fundamental misconceptions about Client Asset Sourcebook requirements as the…
FCA Cracks Down on Payment Firms with Toughest Safeguarding Rules Yet The Financial Conduct Authority has…
The Bank of England (BoE) has signalled that it may hit the brakes on what was…
With lots of information coming out from from the latest FCA announcement we have looked at…
The Senior Manager Regime covers the most senior decision-makers in financial services firms. The aim is…
SMCR scope changes have major implications for enhanced and limited scope firms. This article outlines the…
The Certification Regime currently requires firms to certify many mid- and upper-level staff – not just…
The SMCR Shake-Up The latest SMCR shake-up is a major focus for firms and senior managers…
The Financial Conduct Authority (FCA) has significantly strengthened its surveillance of transaction reporting and Suspicious Transaction…