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