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The Watters Case and the Need to Train Compliance Staff

The FCA fined David Watters, a former Compliance Officer, £75,000 last week and mentioned a few points about training for compliance officers. These points have been known for some time,...

New Money Laundering Regulations Came into Effect on 26th June – Are You Ready?

The Money Laundering Regulations (MLR) 2017 came into force on Monday 26th June. If you were covered by the MLR 2007 then you are now covered by the MLR 2017....

Can Supernormal Profits Persist in the Regulated Financial Services Arena?

After starting its market study in November 2015, the UK’s Financial Conduct Authority (FCA) published its final report on asset management. The regulator wanted to ensure the asset management market...