admin

About admin

This author has not yet filled in any details.
So far admin has created 2 blog entries.

Compliance: the business prevention department?

A common misconception of compliance is that it is still a ‘business prevention department' but nothing could be further from the truth – providing it is done properly. The Compliance department exists to ensure that firms comply with applicable rules, regulations and guidance. One of the key talking areas of compliance is, financial promotions, and [...]

Oct 6th, 2015|Compliance|0 Comments

Everyone’s an expert with the virtue of hindsight

By Christopher Hall. There seems to be many social media experts around but few have much to say about the financial sector. There’s a good reason for this. The financial services industry is a regulatory minefield, and getting social media wrong can cause it to blow up in your face. As a result the financial [...]

Aug 18th, 2015|Compliance, Social Media|0 Comments