FCA’s Asset Management Letters Should Not Be Viewed In Isolation

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Compliance Induction and Refresher Training for a Digital Age

The year is 1997. An investment firm has a new intake of staff – graduate trainees, investment professionals, operations specialists, back-office workers. A memo goes round. The new staff members are required to attend a compliance training course.


Demystifying SMCR

A particular aspect of the UK regulatory environment is that financial institutions can be classified in a number of different ways. For example, it’s possible for a firm to be classified as an FCA-regulated firm, an investment firm, a portfolio manager, a small CASS firm and an ‘IPFRU’ firm – amongst others!