Our Works

  • 31st May 2017

Extending the SMCR to non banks – friend or foe?

Are you ready for SMR or SMCR as it is also known? Regulatory change never stops. Alongside the countdown to GDPR in 2018, runs the countdown to  SMCR or the Senior Managers and Certification Regime. This will replace the Approved Persons regime in much of financial services regulated by the FCA – or at least […]

  • 21st November 2016

The Top Seven Authorisation Tips for FinTech Entrepreneurs

Whilst the FCA move to meet the demand for authorisation support from the rapidly expanding FinTech community, here are our top seven authorisation tips for FinTech Entrepreneurs

  • 1st September 2016

Is being an Appointed Representative a compliance easy rider?

Why firms looking to undertake regulated business shouldn’t assume becoming an Appointed Representative will mean easy compliance. We discuss why it is not failsafe and can still lead firms into hot water with the FCA