compliant solutions limited

10/06/2025

Lovely venue too….

29/08/2024

https://compliancealliance.net/2024/08/29/vulnerable-customers-why-do-we-need-to-have-training/

08/08/2024

https://compliancealliance.net/2024/08/08/consumer-duty-1-year-on/

02/08/2024

https://compliancealliance.net/2024/08/02/anti-money-laundering-why-does-this-keep-coming-up/

19/07/2024

https://compliancealliance.net/2024/07/19/icara-tips-for-getting-it-right/

16/07/2024

https://compliancealliance.net/2024/07/16/cyber-security-attacks-who-is-really-affected/

By Angie Newland @ Angels Admin Support   We are all aware of the massive impact that a Cyber Attack can have on a firm, but one area that Isn’t often discussed is the effect that it has on the individuals within a firm that may be directly involved. HR Review published an article recently […]

24/05/2024

Facebook Meta updating their useage of your personal data - opt out available

25/01/2024

🙅‍♀️Don’t let a scammer enjoy your retirement.

💁‍♀️Be and learn how to protect yourself from .

🔗Check out the Financial Conduct Authority for more advice 👇https://fca.org.uk/consumers/pension-scams?fbclid=IwAR2jRC9xjVB3-nfLuXUg6nL73XGv-En34Rd_esqRmEG-2778w25A2R7tJXo

23/01/2024

23/01/2024

https://compliancealliance.net/2024/01/23/wind-down-plans/

The FCA have required enhanced scope Firms to have a robust wind down plan in place since 2016. More recently we have seen the FCA ask other Firms to provide a wind down plan as part of an application for Part IV Permission. The FCA in Consultative Paper CP23/24 Chapter 6 are looking to review […]

17/01/2024

https://compliancealliance.net/2024/01/17/handover-packs/

In recent years the Financial Conduct Authority have taken a greater interest in the steps that a Firm has in place should the Executive Responsibilities of a Director have to transfer to another person. Firms are expected to provide details of any handover procedures already in place. Fine if there...

08/01/2024

https://compliancealliance.net/2024/01/03/politically-exposed-persons-refinement-of-money-laundering-regulations/

HM Govt have updated the Regulations for Domestic PEPS. The changes come into force on 10th January 2024. Regulation 35 of the Money laundering Regulations requires a Firm to undertake Enhanced Due Dilligence when dating with a PEP. From 10th January 2024, Firms will need to undertake a risk assessm...