FCA specialist exits for adviser compliance firm

A Financial Conduct Authority conduct risk specialist has left the regulator for a consultancy firm which helps advisers with compliance.

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FCA expert criticises 'tick box and back-covering' compliance

An FCA specialist has labelled some compliance officers ‘not very good’ and says they have “too much of a tick-box, back-covering approach”.

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Ready for an avalanche - new rules spark firm hiring spree

The advent of new EU rules forcing firms to keep records of electronic communications including an “avalanche of content” on social media has prompted one business to double its UK team.

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Firms failing to comply on FCA social media rules risking damage

Finance firms are failing to properly record and supervise their staff’s activity on websites like Twitter and LinkedIn despite new FCA guidelines, a study concluded. Read more...

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