Regulation and Compliance
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Struggling Consumers
Consumers are struggling to understand structured products and overestimate the expected returns. This is the conclusion of a research paper just published…
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FCA Complaints Handling: CP 14/20
Compliance Consultant Lee Werrell reports on a change to complaints handling procedures that will affect every IFA in the country CP14/30: Complaints…
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FCA Chairman Explains The Sixty Large On PR
This missive, says David Cowell of Myddleton Croft Investment Managers, is appearing a day early as, despite the snow, he is heading…
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Compliance – Who, Why, How?
Lee Werrell, CEO of ComplianceConsultant.org, Gets Back Down To Basics The regulators accept that managing compliance risk is complex and demanding,…
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Plenty of Manager Optimism – AIC
Not even an 11% market correction has managed to knock the optimism out of Britain’s investment company managers, according to the latest…
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Due Diligence Thematic Review – For What?
So We’re Getting a Long-Winded Thematic Review on Due Diligence, Says Gill Cardy? Why Now? And What Are We Supposed To Do…
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Bottom Up Regulation
Professor Louis Toledo is one of the world’s top cosmetic buttock surgeons, says David Cowell of Myddleton Croft Investment Managers. And he is the creator…
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Risk: We Need Standards
Gill Cardy wants a more universal understanding of risk May the heavens bless the FCA for continuing to focus attention on…
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Fessing Up To The Regulator
Lee Werrell, CEO of Compliance Consulant.org, Concludes His Practical Guide to Managing A Regulatory Crisis (For Part I, Click Here) In the last…
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Understanding Basis Risk
Understanding basis risk gives valuable insights into how fund managers seek to manage the exposure of their investments, says Nick Samouilhan, multi…
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