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  • FCA plans to removes further regulatory red-tape

    The FCA has proposed remove further unnecessary data reporting, that it said will benefit nearly all firms.

  • Advisers wary of compliance and tax changes

    Nearly three-quarters of independent financial advisers (72%) see the burden of compliance and regulatory change as their primary concerns.

  • Threesixty unveils 'holistic' compliance offering

    Compliance and adviser support firm Threesixty has launched what it calls a new 'holistic' compliance management suite for adviser firms called 'Trust.'

  • Insightful day at CFP Professionals conference

  • Firms failing to comply on FCA social media rules risking damage

  • Ready for an avalanche - new rules spark firm hiring spree

  • FCA expert criticises 'tick box and back-covering' compliance

    Rory Percival, FCA technical specialist, was speaking at the Paraplanners Powwow on Thursday
  • FCA specialist exits for adviser compliance firm

  • Compliance chief blasts ‘disgrace’ of unregulated investments

  • Leading law firm launches Senior Manager regime tool

    Clifford Chance website
  • Wealth chief execs say regulation is main headache

    PIMFA CEO Report
  • John Moret: The price of light or the cost of darkness?

    John Moret
  • Compliance firm offers 90 days free access

    Apricity Compliance director Kim Binks (courtesy of Apricity Compliance)
  • TPR issues more than 115,000 auto-enrolment penalties 

    TPR website
  • FCA fines Charles Schwab UK £8.96m

    Charles Schwab UK
  • FCA takes action on 105 financial ads in Q1

    The FCA has published its first quarterly data for non-compliant financial promotions
  • FCA rejects appointed rep ‘hosting’ plan from firm

    FCA logo
  • SJP upgrades financial crime defence

    The addition of the financial crime AI-enhanced solution is the latest in a series of technology updates for SJP.
  • Pension firms told to look ‘beyond narrow compliance’

    The Pensions Regulator website
  • Compliance consultant warns about retirement income advice

    The FCA said in January it was keen to look at how the 2015 pension freedoms have impacted on the quality of advice clients receive

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