Compliance and Training Solutions Ltd

27/07/2022

Completing your RegData - the FCA data collection platform for gathering regulatory data from firms - can be time consuming yet essential. We can help in two ways.

For a small monthly fee, we will work with you when your returns are due, we will send you a simple spreadsheet with all the data that is needed, we will then log in to your account and ensure all the data is entered correctly and that all the figures are correct, at this point we will submit the return on your behalf.

Alternatively, we have negotiated a discount for all our clients to use the amazing software provided by MyRegData. This will revolutionise the way you complete your returns as the software pretty much does it all for you.

Please call us on 01206 230804 to discuss your needs and what the best option would be for you.

25/07/2022

Thank you to Justin King for his honest and positive feedback. We know this matters to those thinking about working with us.

22/07/2022

On July 8th, Ashley Alder was appointed new FCA Chair from the Hong Kong regulator. Alder is expected to take up his position in January, with a number of others reappointed to their roles in the Financial Conduct Authority.

The Treasury has today (8 July) announced the appointment of Ashley Alder as the new chair of the Financial Conduct Authority.

20/07/2022

We offer many ways for you to engage with our services and support starting from as little as £125 + VAT per month for our ‘Foundation Support’ to our fully bespoke support, should you be looking for something a little more hands on. Find out more here - https://complianceandtraining.co.uk/ifa-compliance-support/?utm_source=dlvr.it&utm_medium=facebook

18/07/2022

Amid cabinet turmoil, the MPs session with the FCA has been postponed. MPs were intending to ask the FCA about increases in cost of living, financial crime and potential ramifications for consumers. The new date for this session will be announced in due course.

The Treasury Select Committee has postponed a session with the Financial Conduct Authority leadership today (7 July) amid government turmoil.

15/07/2022

Critics have slammed the Green Savings Bond for lack of investor take up. The Government's ambitious savings bond has been denounced as a "flop". What are your thoughts?

Critics of the government's ambitious green savings bond have denounced it as a “flop”. Green savings bonds were first issued in October 2021 by National Savings & Investments (NS&I).

13/07/2022

CATS can help you keep your team up to date with their knowledge with online tests where you will receive your results instantly on submission. These cover all the required papers including:
✅ Anti-money laundering
✅ Complaints Handling
✅ Bribery Act
✅ Treating Customers Fairly

Find out more by visiting our website - https://complianceandtraining.co.uk/annual-knowledge-tests/?utm_source=dlvr.it&utm_medium=facebook

11/07/2022

Are you aware of how the FCA regulate market abuse and manipulation? Here's their most up to date report on recent work.'

People seeking to abuse the insider knowledge they have to make a quick buck place their fingers on the scales. As well as disadvantaging those who play by the rules, they undermine confidence in markets that are vital for companies seeking capital and investors building their savings. It is natural...

08/07/2022

Feedback is crucial to make sure we are delivering what our clients need. This is taken from one of our CPD days.

06/07/2022

The Treasury Select Committee recently identified a number of key areas for growth in the financial services sector and the wider economy.

MPs have warned today (16 June) that competitiveness should not become a primary objective of financial regulators.

04/07/2022

According to head of PIMFA head of public affairs, the FCAs upcoming Consumer Duty will likely make ongoing advice fees hard to justify in the short to medium-term future. Are you ensuring your services are good value for money?

The upcoming Consumer Duty is likely to make ongoing advice fees hard to justify in the short to medium-term future. This is the view of PIMFA head of public affairs Simon Harrington, who was speaking today (10 June) at Money Marketing’s Retirement Summit.

01/07/2022

Sarah Elson of Berry & Oak kindly gave us this feedback for James and the team. It really is a team effort here at CATS and we're so pleased to see this appreciated.