Regulatory change shows no sign of letting up: in the past month alone, the Financial Conduct Authority has introduced a new ‘consumer duty’ (to reduce the level of harm to retail consumers) and more restrictions in financial promotions.
Keeping up with changes across financial services and being able to demonstrate compliance continues to be a hurdle, especially for smaller firms. Boutique governance, risk and compliance consultancy Objectivus can help, with advice on retail/wholesale brokerage, corporate finance, investment research and proprietary trading.
With experience in senior management, operations, risk and compliance, its consultants aim to help you navigate the change and the FCA focus on your firm. objectivus.com