Failings in outsourcing cost a firm £1.89m through joint fine by both the FCA and PRA
Would you benefit from knowing you have monthly structured CPD being delivered direct to your desk? That is what our Advice Matters Publication does for our Adviser clients. Providing them peace of mind with 12 hours of structured CPD over the year.
The FCA issued a reminder to all firms that are affected by the extension of the SM&CR, which comes into force on the 9th December 2019.
With UK Fund Boards being required to have at least 25% of their board positions filled by iNEDs by September 2019, we explain how our new partnership is help to support the needs of firms and the individuals searching for an iNED position.
The second largest financial penalty ever imposed by The Financial Conduct Authority (FCA) for Anti-Money Laundering (AML) failings has been made public.
We have a long standing partnership with Unicorn Training who have launched ‘InFocus’ a FREE bi-monthly publication covering the hot topics in the financial services regulatory landscape.
Would you benefit from knowing you have monthly structured CPD being delivered direct to your desk? That is what our Advice Matters Publication does for our Adviser clients. Providing them peace of mind with 12 hours of structured CPD over the year.
Read about the 13th fine made by the FCA relating to failures around transaction reporting.
As well as renewing our CISI ‘Premier Training Partner’ status
Yet again exceeding the national average pass rate
Would you benefit from knowing you have monthly structured CPD being delivered direct to your desk? That is what our Advice Matters Publication does for our Adviser clients. Providing them peace of mind with 12 hours of structured CPD over the year.
The scope of the Senior Managers and Certification Regime is huge and the impact on the financial services industry can’t be under estimated. You just have to speak to the firms already under SMCR. Find out how we can support you with your SMCR projects, no matter what stage you are currently at.
How could SM&CR impact the role of Appointed Representatives moving forward?
Would you benefit from knowing you have monthly structured CPD being delivered direct to your desk? That is what our Advice Matters Publication does for our Adviser clients. Providing them peace of mind with 12 hours of structured CPD over the year.
Wednesday the 9th January 2019 saw the FCA release a letter on their website to all CEOs of regulated firms reminding them of their responsibilities around the use of financial promotions.
SM&CR is coming in to play across the industry by December 2019. We know that firms will all be at various stages of their project plan which is why our toolkit let you select the elements you require support with.
FSTP named ‘Most Effective Training Firm’ at the 15th annual Compliance Register Platinum Awards.
As we approach the festive holiday season we take a look at a pick of our courses taking place prior to the holiday season and a number of the courses that are proving popular for the New Year.
Benefit from monthly structured CPD delivered direct to your desk. Advice Matters provides exactly that for the duration of the 12 month subscription.
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Benefit from monthly structured CPD delivered direct to your desk. Advice Matters provides exactly that for the duration of the 12 month subscription.
FSTP are Members of the Association of Professional Compliance Consultants.
Would you benefit from knowing you have monthly structured CPD being delivered direct to your desk? That is what our Advice Matters Publication does for our Adviser clients. Providing them peace of mind with 12 hours of structured CPD over the year for just £35.
Access our results of a recent T&C survey for Investment & Wealth Management firms.
Polish up your skills with some of our Autumn Open Course highlights!
A successful results day for our CISI Chartered Wealth Manager students.
With the announcement that the SMCR implementation date for insurers is the 10th December. We are on a 5 month countdown and to help get you off to a great start access our condensed summary of the FCA Policy Statement 18/15.
The FCA have provided the near-final rules for extending the SM&CR to FCA firms. We have broken this 412 page document down into a handy condensed document, providing all the key points.
Take a look at our overview of CP18/12 and CP18/13.
Our Senior Partner reviews the key points of the FCA business plan affecting the industry as a whole and focuses on some sector specific issues.
Are you a Marketing professional working within a financial services firm? Make sure you and your firm are able to answer these key questions around GDPR to ensure that you are on track to compliance.
Take a look at 20 key questions to get your T&C audit up and running and ensuring that it stays on track.
Use our aide memoire to ensure the suitability of advice you provide to your clients matches the requirements of the regulator.
With the delayed implementation date of IDD approaching on the 1st October 2018. It is important to take a look at what is expected. Keeping in mind the industry should now already be well prepared for the 1st October.
Follow our 10 steps to initiating an effective cultural change that will be sustainable.
Our Senior Partner Julia Kirkland takes a look at some of the impacts of BREXIT on the asset management sector.
Take a look at a selection of our upcoming public open courses and access our full schedule.
Would you benefit from knowing you have monthly structured CPD being delivered direct to your desk? That is what our Advice Matters Publication does for our Adviser clients. Providing them peace of mind with 12 hours of structured CPD over the year for just £35.
If you’re looking to take the CISI Chartered Wealth Manager exam here’s all you need to know to get started.
Another successful results day for our candidates across the CISI Chartered Wealth Manager exams.
Keep up to date with the latest information around the Insurance Distribution Directive (IDD).
A look into what we should all be focusing on one month after MIFID II implementation.
A condensed paper covering the extension of the Senior Managers & Certification Regime to all FCA regulated firms (CP 17/26) and including the transitional arrangements for insurers and individuals to the SMCR (CP 17/41).
Book CISI accredited study support here at FSTP and find out why our training is a cut above the rest
A condensed paper covering the extension of the Senior Managers & Certification Regime to all FCA regulated firms (CP 17/25) and including the transitional arrangements, CP 17/40.
HM Treasury have announced who will be taking over as the new Chair of the FCA in April 2018.
Have your say on the FCA’s approach to both Authorisation and Competition.
Take an early look at some of our forthcoming open courses. Booking are already being taken for our 2018 courses, so take a look at what is available and get in touch with the team if you have any questions or require something more tailored to your current requirements.
