FCA’s expectation for Heads of Compliance and MLROs
One of the most important roles in a registered firm is that of the Head of Compliance and MLRO. The FCA’s expectation of this role
One of the most important roles in a registered firm is that of the Head of Compliance and MLRO. The FCA’s expectation of this role
Jessica Rusu, Chief, Data, Information and Intelligence Officer of the FCA, recently gave a speech in which she laid out what some of the latest
Discussions within the market indicate that the FCA are requesting an increasing number of Section 166 audits for firms within the e-money and payments sectors.
In the past, the FCA’s interest in organizational culture has largely been focused on preventing regulatory breaches, such as fraud and money laundering. However, there
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