Appropriateness : Volume 1 - MIFID

bEST PRACTICE FOR Diversity & Inclusion

Client Communications and Marketing

Current Fraud Trends:
How to Protect Your Firm & Your Customers

Cyber Attacks Trends and Reporting

Cyber Incident Good Practice Tips

Cyber Resilience in Extraordinary Times

Cyber Security Matters

Data Gathering Conundrum

DISCLOSURES UNDER THE IFPR

Diversity & Inclusion
Regulation

Explanatory note - The UK Retail Service Provider (RSP) model

FCA Notification Rules

GDPR ACTION PLAN AND CHECKLIST

GDPR & Data Security

GUIDANCE ON SDR CONSUMER-FACING DISCLOSURE

Handling FOS Complaint Claims

iNSISTENT CLIENTS:
A good practice

INSURANCE dISTRIBUTION dIRECTIVE

Implementation of MIFID in EU Member States

Inter Broker Client Transfers

LEGAL ENTITY IDENTIFIERS

MIFID II for Financial Advisers

Product Governance

rECORD keeping
under GDPR

REMUNERATION

Sanctions Compendium

Senior Managers and Certification Regime

Suitability

Task Force for Climate Related Financial Disclosures (TCFD)

Trustees

VULNERABLE CUSTOMERS:
How to identify & achieve good outcomes

Whistleblowing