Recordkeeping for financial promotions - where are we now?
The FCA’s COBS 4.11 states that most financial firms must keep records for at least three years,
The FCA’s COBS 4.11 states that most financial firms must keep records for at least three years,
There is no formal definition of an ESG (Environmental, Social and Governance-related) investing
This month we bring you the best bits from various regulators' speeches about the future regulatory
Seven US states and a fee-only financial planning platform are suing the US Securities and Exchange
In this article Compliance Matters speaks to Howard Taylor, a senior regulatory and compliance
Bank Negara Malaysia, the Malaysian central bank, has opened a representative office in Beijing, as
Compliancy Services, a compliance consultancy firm, has hired Andrew Tyrtania as a consultant to
Nigel Greenwood, one of the directors at the ratings agency of Standard & Poor’s, reportedly told