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 […] [...]

In light of the impending changes to the Money Laundering Regulations scheduled to take effect on the 10th of January 2024, prompted by the Nigel Farage/Coutts scandal and the subsequent […] [...]

Join Complyport and AGRC for an insightful webinar as we delve into the transformative impact of Artificial Intelligence (AI) and Machine Learning (ML) on the landscape of compliance within the financial services […] [...]

According to the FCA’s regulatory focus in the coming months, all regulated firms need to place increased focus on building robust operational resilience and IT frameworks in a bid to […] [...]