Month: March 2019

Reasonable Precautions: Do You Know Where Your Data Is?

A tax company has warned that many advisers may be ‘sleep walking’ into criminal prosecution if they cannot show that they have taken reasonable precautions to prevent tax evasion from their clients.

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Unintended Consequences: How to Prepare for SM&CR

At the end of the year the Senior Manager’s Regime will be extended to cover all regulated firms. If firms have been behaving themselves this shouldn’t change much about their regular practices but evidencing compliance could still be a big piece of work and this may have all sorts of unintended consequences.

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FCA Says MiFIDII is Saving Investors Money

The FCA’s Chief Executive Andrew Bailey has been defending the the impact of MiFiDII and believes it could save investors £1bn over the next four years.

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Is Brexit Overload Hitting the Regulators?

The FCA has revealed its final, final, definitely the last for the time-being no deal Brexit plans and it contains some valuable reassurances on customer protections, but it’s a sobering thought to remember that there’s still a very good chance that all of this will have been for nothing.

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