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Compliance

Insurer

National Friendly appoints new head of risk & compliance

Lisa de-Laune brings over 20 years' industry experience, having led risk, internal control, internal audit and change functions

clock 20 May 2019 • 1 min read

Income Protection

Bankhall and PMS Mortgage Club launch mortgage and protection compliance support

Bankhall, the professional support services provider, has launched Mortgage & Protection Assist, a new compliance support service developed in partnership with the PMS Mortgage Club.

clock 08 September 2016 • 1 min read

Adviser / Broking

The Right Mortgage and Protection Network hires compliance director

The Right Mortgage and Protection Network has hired Gavin Earnshaw to be its new compliance director.

clock 27 July 2015 •

Adviser / Broking

Compliance service designed for small firms launched

The Consulting Consortium (TCC) has launched a 'bespoke' compliance support service for small financial advice firms.

clock 03 June 2014 •

Regulation

PPI continues at the top, but complaints reduce - FCA

Complaints data published by the FCA has showed 2,479,029 new complaints opened against financial services firms between July and December 2013.

clock 09 April 2014 •

Adviser / Broking

Compliance service for financial planning firms launched

A compliance service designed for financial planning firms has been launched.

clock 05 March 2014 •

Adviser / Broking

McDermott: People had forgotten what financial services are for

The emergence of a profits-before-ethics culture in financial services skewed employees' view of the industry's purpose and prevented them from challenging immoral behaviour, the Financial Conduct Authority's enforcement boss has said.

clock 20 June 2013 •

Adviser / Broking

Unemployed graduates to train as IFAs

The Financial Skills Partnership (FSP) is to launch a plan to train 150 unemployed graduates as financial advisers.

clock 16 August 2012 •

Adviser / Broking

Adviser jailed over £400k client theft

A Bradford-based financial adviser has been jailed after a court found him guilty of stealing almost £400,000 from four vulnerable clients over a 16-year period.

clock 02 August 2012 •

Adviser / Broking

233% rise in number of financial services apprenticeships

The number of apprenticeships in the financial services sector has rocketed by 233% in the past year, according to figures from the National Apprenticeship Service.

clock 23 July 2012 •
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