There are various reasons why compliance officers fail. Reason my range from personal to professional attributes. Below are 10 reason why compliance officers fail. 1. Pushback from the general counsel. A very entrenched general counsel is likely to have built up a strong reputation within their company as someone who is close with and sympathetic […]

This FCA Dear CEO letter sets out the FCA  view of the key risks of harm that Wealth Management and Stockbroking firms pose to their customers or the markets in which they operate. You should consider whether your firm presents these risks and consider your strategies for mitigating them. the FCA  Wealth Management and Stockbroking […]