compliancespecialist

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Breaking Down UK-EU Sanctions: What Every Business MUST Know in 2025! 

🎯 Don't let sanctions compliance keep you up at night! Our latest video breaks down everything you need to know about UK/EU financial regulations in 2025. From screening basics to advanced compliance strategies - we've got you covered! Watch now: https://youtu.be/5M91WISSMzE 

#FinancialCompliance #UKBusiness #EURegulations #ComplianceMatters #RiskManagement #FinancialCrime #BusinessCompliance #OFSI #SanctionsCompliance #CorporateGovernance

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Discover The Secrets To Having FCA Compliance Manual Template You Want.

This document provides an FCA Compliance Manual Template to assist UK financial firms in meeting regulatory standards. It covers essential areas, including customising procedures for the Senior Managers and Certification Regime (SMCR), integrating the Consumer Duty policy, and implementing anti-money laundering (AML) practices. The template serves as a practical guide for firms to comply with FCA requirements effectively.

Contact details for a compliance consultant offering additional services are included. For support, email info@complianceconsultant.org or call 0800 689 0190. You can also schedule a call here: https://bit.ly/CCDiscovr.

Key Points:

 Documents      sales processes, client interactions, and policies (e.g., Data      Protection, Bribery Act).

 Addresses      compliance areas, including SMCR, Consumer Duty, and AML.

In summary, a tailored compliance manual is crucial for financial firms operating under FCA regulation. Using templates as a foundation, firms should focus on customisation and regular updates to meet evolving regulatory standards.

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Consumer Duty and Financial Crime Compliance in the UK.  This material was supplied by Compliance Consultant, home of the Compliance Doctor. To learn more or to schedule a no-obligation discovery call, please don’t hesitate to get in touch with them at https://complianceconsultant.org,   info@complianceconsultant.org  or in the UK call on 0800 689 0190. Alternatively, you can schedule a call directly via this  link https://bit.ly/CCDiscovr

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FCA S178 and Change in Control Notifications: What Every Business Leader...

The Financial Conduct Authority (FCA) requires notification, using an S178 notice, before an individual or firm can acquire or increase control of a firm regulated by the FCA.  The FCA has published a **Controller Form**, along with supporting documentation, that proposed controllers should use for this notification. The FCA may ask for more information depending on the particulars of the acquisition. Controllers should engage with the FCA early in the process to make sure their notification meets the FCA's expectations, which will allow for a faster assessment.

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Unlocking FCA Compliance: Expert Insights from Leading Consultants.

What You’ll Learn: - The Importance of FCA Compliance: Understand why FCA compliance is crucial for financial entities and how it impacts your business operations. - Key Services Offered by FCA Compliance Consultants: Discover the various services these experts provide—ranging from risk assessments to training and ongoing support. - Best Practices for Choosing the Right Consultant: Get insider tips on selecting a consultant that aligns with your specific business needs. - Real-Life Case Studies: Learn from compelling case studies that illustrate the successes achieved through expert compliance strategies. - Future Trends in Compliance: Stay ahead of the curve with insights into emerging trends affecting FCA regulations.

By the end of this video, you’ll be equipped with the knowledge to make informed decisions when it comes to FCA compliance and understanding the significant value an expert consultant can add to your organisation.

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This was supplied by Compliance Consultant, home of the Compliance Doctor. To learn more or to schedule a no-obligation discovery call, please don’t hesitate to get in touch with them at https://complianceconsultant.org,  info@complianceconsultant.org or in the UK call on 0800 689 0190. Alternatively, you can schedule a call directly via this  link https://bit.ly/CCDiscovr.

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(via https://youtube.com/watch?v=DcxmrLGfZ-Q&si=C1kHJrjOjcp3bfoi)

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MLRO Responsibilities Checklist 5 Min Webinar

MLRO Responsibilities Checklist - part of our 5 min silent webinar series. 

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FCA Safeguarding Guide 2024 Checklist 5 Min Webinar  For a Payment Service Provider (PSP), having FCA Safeguarding is crucial for several reasons.

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FCA Distance Marketing Checklist 5 Min Webinar

A Financial Conduct Authority (FCA) Distance Marketing Checklist is a valuable tool for businesses engaging in distance marketing activities, such as online or telephone sales of financial products.

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FCA Call Monitoring Checklist 5 Min Webinar

A FCA Call Monitoring Checklist is a valuable tool for businesses subject to the Financial Conduct Authority (FCA) regulations, particularly those dealing with financial services or customer interactions via phone calls. 

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FCA Business Continuity Management Checklist 5 Min Webinar. A Business Continuity Management (BCM) Checklist is a valuable tool for organisations to ensure the resilience and continuity of their operations during unforeseen events, such as natural disasters, cyber-attacks, or pandemic outbreaks.

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In our latest 5 minute Silent Webinars, we cover an Audit Readiness Checklist - An Audit Readiness Checklist offers numerous benefits to an organisation preparing for an audit, particularly a financial audit. Here are some key advantages in this short video.

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Unlock Your Business with Expert FCA Authorisation Prep from Specialist ...

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Unlocking FCA Authorisation & Registration Approval Secrets

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Professional FCA Authorisation service. Consulting specialists.

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Unlock Your Peak Performance: Mastering the Art of Performance Coaching. Remember, performance coaching is not just about achieving your goals; it's about surpassing them and setting new benchmarks for success. Ready to elevate your performance? Let's get started!