Course Overview  In July 2022, the Financial Conduct Authority, or FCA, published a policy statement, with final rules, on its Consumer Duty initiative. This comprises a new principle, cross-cutting rules, […] [...]

Course Overview  One of the ways in which regulators assess their performance is by measuring whether consumers get the products and services they need and want from firms they can […] [...]

Context: AML regulation has been incorporated in compliance program for decades. In recent years the tendencies of governments to tighten the net around tax avoidance practices and the increased use […] [...]

Course Overview  Financial promotions are the way in which the investment and pensions market tells the public about itself. Since this subject was first regulated in the late 1980s, there […] [...]

With regulatory fines exceeding £600 million in the past two years due to failures in AML systems and controls, can you or your team ever be overtrained or too prepared on everything […] [...]

Overview Due to ever changing regulatory landscape for cryptocurrencies, rules & regulations keep evolving and new ones are added. Cryptocurrencies are still new and people around the world are starting […] [...]

Course Overview  The Market Abuse Regulation (MAR) was introduced in July 2016 and the FCA continues to fine both individuals and high-profile firms in the fund industry for breaches.  Along […] [...]